Top 15 States With Most RIAs
The number of RIA firms increased to 31,975, according to SIFMA’s 2014 Factbook, despite an active merger year.
SEC, FINRA Enforcement: Ex-Barclays Analyst, 3 Others Fined for Insider Trading
Meanwhile, FINRA has fined Bloomberg Tradebook on short sale violations.
SEC Commissioners Rail Against Oppenheimer & Co. Waiver
SEC waiver throws away "valuable enforcement tools" and adopts a policy of "too-big-to-bar," says Rep. Maxine Waters.
SEC Busts 3 Advisors for Falsifying State Registrations
The three firms claimed they did business in Wyoming, an unregulated state, while maintaining offices elsewhere, the SEC says.
Obama’s $4 Trillion Budget Sets Up Tax Fight With Congress
The budget would raise taxes on corporations and top earners, spend more on infrastructure and housing, and stabilize, but not eliminate, the annual budget deficit.
Is There Really an Advisor Exam Problem?
Head scratching continues over what to do about boosting SEC advisor exams — or whether the supposed deficiency is just a political football.
After Obama Address, Battle Lines Are Drawn in Congress
Industry trade groups and lawmakers were quick to weigh in with praise and criticism of issues raised in President Obama's mid-January State of the Union address, namely cybersecurity, the Dodd-Frank financial reform law, taxes and entitlement reform.
Rainbow Warriors: Working With LGBT Clients
Investment Advisor’s February cover story focuses on how LGBT clients need help protecting their finances from a blitz of varying state laws.
Health Care in Retirement: How to Help Clients Plan
Financial advisors take a growing role in optimizing clients’ health care spending.
The Keys to Safeguarding Your Client Base
These crucial skills can protect your advisory business from competitors.