SEC Fines Bitcoin Entrepreneur for Selling Unregistered Shares
The SEC fined the co-owner of two bitcoin-related websites for publicly offering shares in the two ventures without registering them.
What SEC’s Recent Social Media Guidance Means for Advisors
It is important to understand exactly what the guidance update on using testimonials via social media has and has not changed.
Schwab Founder: Indexing Is Not Passive
Charles Schwab decries the bad rap index funds get as “passive” investments, explaining the strategy's dynamic nature in a rare media appearance.
Kidnappings by Terrorists Raise Concerns for Nigeria Investors
The kidnapping of hundreds of girls by the Boko Haram terrorist group thrusts the emerging nation's security problems into the spotlight.
FINRA Fines Morgan Stanley $5M Over IPO Share Sales
FINRA said Morgan Stanley had “supervisory failures” in initial public offerings for Facebook, Yelp and 81 others.
The Real Key to Harnessing Technology
Financial advisors need to remember that technology is simply an enabler: You must first set up your business to accommodate it—then reap the rewards.
Can Boring Stocks Bring Investment Bliss?
Michael Finke examines the surprising advantages of low-volatility portfolios.
How to Convert Social Media Conversations Into Sales
A Northwestern Mutual rep's story provides insights into using social media to deliver "soft openings" to prospects and to create a stream of referrals.
Phony Advisor in Hawaii Used Twitter to Bilk Clients: SEC
The SEC says a 27-year-old Honolulu woman attracted about $250,000 to her schemes via Twitter, Facebook and other websites.
National Retirement Planning Week Offers Critical Tools for Advisors
It's National Retirement Planning Week, and here are some tools advisors can take advantage of to promote retirement preparedness.