SEC Investor Advocate to Congress: 'Appropriate Limits' Needed in Elder Fraud Rules
SEC's Fleming tells lawmakers that any new authority given BDs and advisors "to intervene in clients’ accounts" must include "limits on that authority."
Lion Street Announces Strategic Partnership With Voya Financial
Lion Street is partnering with Voya Financial’s individual life insurance business.
Clock Ticking on Advisors' Compliance With SEC Pay-to-Play Rules
Now that FINRA, MSRB have filed pay-to-play rules with SEC, compliance with third-party solicitor provision at hand.
How Advisors Can Best Serve ‘Modern’ Families
As family structures in the U.S. have changed significantly, so have the financial concerns of new family configurations, Allianz reports.
3 Questions Retirement Plan Sponsors Ask About Advisors
What are retirement plan sponsors looking for from plan advisors? Advisors may need to start at the beginning, says David Levine.
An Advisor’s Year-End To-Do List, Pt. 3: Marketing Your Business
The past few weeks we have been discussing an advisor’s end-of-year checklist. In this post, we will finish with a look at marketing your business.
These Will Be Wall Street’s Most In-Demand Jobs Next Year
Job cuts and shrinking bonuses dominated headlines from Wall Street this year, so it’s easy to forget pockets of the industry are booming.
Finding the Right Fit; Getting the Right Advice
Darrell Reese and Paul Kink say they were lucky in their timing, and that they share the same values, in transitioning the firm.
New Resolutions for Old Challenges
As we head into 2016, a final rule from the DOL defining who is a fiduciary when giving retirement advice is finally, maybe, on the horizon and a looming talent shortage threatens to stymie advisory firm growth.
How DOL Fiduciary Will Change the Industry, and Careers
Whatever its final shape, the redefinition of fiduciary under ERISA will affect business models, compliance costs and possibly career choices.