Will Edward Jones’ New Ads Lure Experienced Advisors?
The firm wants to recruit more veteran advisors, but one recruiter says the idea that the print ad campaign will succeed is "laughable."
How a Fishing Proverb Can Be a Tech Lesson
You don’t necessarily need the fanciest, most expensive product to do the job.
Connected Capital: Financial Services in an Always-On World
To make the most of technology, RIAs must do more than simply offer online versions of offline practices.
These 4 Emojis Are a No-No on Wall Street
Investment and social media compliance firms warn about the pitfalls of using emojis in client communications.
SEC Busts 27 Over ‘Independent’ Stock Commentary That Was Anything But
Regulator warns that commentary on investment research websites may be part of paid stock promotion campaigns, even when writers say they are independent.
The Digital Divide
As the investment industry innovates, a digital divide is opening between advisors who embrace technology to its fullest possible extent and those who do not.
FINRA’s 6 Steps to Recovery for Fraud Victims
The industry group outlines the details of what investors can do after being affected by financial crime.
eMoney Compliance Tool Goes Live: Tech Roundup
AdvisorStream, and SS&C also announced new integrations and updates this week.
Best Full-Service Investment Firms Ranked by Investors: J.D. Power — 2017
Overall satisfaction has risen across full-service broker-dealers, the survey finds, but robo-advisors present a clear threat.
SEC Boosts How Much Firms Can Raise via Crowdfunding
The regulator's move is an inflation adjustment and adheres to JOBS Act rules.