Could 20 Digits Prevent Another Financial Crisis?
SEC Commissioner Kara Stein, a self-described "geek," says a 20-digit code could help stop the financial world from imploding again.
What Do Tougher FINRA Suitability Standards Mean for You?
FINRA's new rules have elevated the importance of risk profiling and risk tolerance, which are often lost in the shuffle.
7 Reasons Women Make Better Money Managers Than Men
Having more female money managers is a smart diversification strategy, author Meredith Jones says. Here are some reasons they often outperform.
Focus Financial Obtains $1B for Growth
The credit facility is available to all Focus firms and will fund programs to support efforts to go independent and plan for succession.
Monthly Client Calls May Be Too Much: Study
SEI’s latest Futurewealth research addresses how frequently high-net-worth investors want to communicate with their advisors and what they want to talk about.
SEC Warns of Advisors Duping Investors With Fake Credentials
The SEC warned investors Wednesday to perform thorough background checks and brought two actions against advisors for falsifying credentials.
The 2015 Broker-Dealers Reference Guide
Over the 35-year history of Investment Advisor, the brokerage industry has seen monumental changes.
Thriving in Tomorrowland: How Advisors Can Adapt to Change
Forty-five years after Alvin Toffler warned us of future shock, four experts suggest how to prosper in today's tsunami of change.
The Benefits of Reverse Mentorship
Age sometimes begets hubris, a state of exaggerated self-confidence based on the belief that one has seen it all. As the abridged quote from Proverbs says, “Pride goeth before a fall.”
529 Plans: The College Savings Tool Most Families Don’t Know About
About two-thirds of families don't know what a 529 plan is, according to a recent survey. Here's what your clients should know.