Next-Gen Panelists Talk About How They Became Advisors
At the TD Ameritrade conference, a panel of financial planning students, veteran advisors and career changers discussed ways the industry can attract younger advisors.
SEC to Release Third-Party Advisor Exam Rule in Spring: TDAI’s Schweiss
Writing a fiduciary rule that still allows proprietary product sales is an "impossible task" for the SEC, says TDAI's Skip Schweiss.
Fiduciary Rule Can Create Opportunity for Retirement Advisors
It’s an “exciting time to be an ERISA attorney,” Pam O’Rourke told attendees at the TD Ameritrade National LINC conference.
Edelman: What’s Top of Mind for Advisors? Technology, Recruiting Women
Female clients are not a "legitimate segment" to pursue, Ric Edelman said on a panel, but "women as advisors have been ignored" and "tend to be the best" advisors.
TDAI to Acquire Big Data Research Firm FA Insight
Advisors will be able to see “how they stack up” with peers and use those insights to “make better business decisions,” said TDAI’s Tom Nally.
What to Do Before, and After, a Cyberattack
At the TD Ameritrade National LINC conference, experts discuss best practices for responding to and minimizing the impact of cyberattacks.
Cybersecurity ‘Not Designed for the Human Psyche’
If it looks like cybersecurity experts are making things up as they go, that’s at least partly true, Theresa Payton said at TD Ameritrade’s conference.
SEC Said to Be Shifting Examiners to RIAs; Jarcho Named Deputy Director of SEC Exams
Industry officials expect the SEC to announce soon that it will shift more examiners to advisors from BDs.
A Fiduciary Primer: What’s a Rep’s Responsibility to Clients?
Questions from a veteran RIA — and former broker — reveal the lack of understanding among advisors of the fiduciary issue.
How to Differentiate Yourself From Other Advisors
Why do clients hire us in the first place?