SEC Cracking Down on Wrap Fees; Wins Court Case
The SEC wins a long-running court case on wrap fees, while OCIE letter to RIAs signals the arrangements will be scrutinized in exams.
Two Reasons Why a New Wave of Breakaway Brokers Is On the Way
Senior wirehouse advisors ready to start the next phase of their lives can use the RIA model as a pathway.
Several notable compliance-related measures have been approved—or tabled—by the Securities and Exchange Commission, Financial Industry Regulatory Authority and state securities regulators over the past couple of months that should be on advisors’ and brokers’ radar.
Top Portfolio Products: Schwab Launches ETF Website
Russell introduces a new strategic-call overwriting fund, and Focus Financial rolls out succession-planning tool.
SIFMA Elects New Officers to Municipal Securities Division
Stratford Shields of Morgan Stanley & Co. will serve as division chair, and Frank Fairman of Piper Jaffray & Co. and David Stephens of Bank of America Merrill Lynch & Co. will serve as vice chairs.
Why RIA Firms Should Hire the Young, Pt. 2: 5 Tips on Recruiting Breakaway Brokers
In the second post in a three-part series on RIAs hiring breakaway brokers under the age of 40, tips on how—and how not—to recruit those younger brokers.
Why RIA Firms Should Hire the Young, Pt. 1: Breakaway Brokers
Looking to hire an advisor to join your RIA firm? Try thinking young: Breakaway brokers under the age of 40 are a great resource for high-quality talent.
3 Ways for RIAs to Build Their Own Powerful Brands
Some practical brand-building steps you can take right now to help you consistently deliver on your promises to your clients.
The Outsourcing Boom: Compliance
When it comes to compliance, independent advisors today face more uncertainty and challenges than ever. Many firms are finding that outsourcing helps them deal with the challenges.
The Outsourcing Boom: Technology and Beyond
Why, how and where RIAs are discovering the benefits of third-party outsourcing.