5 Critical Marketing Questions Financial Advisors Must Ask Themselves
Many advisors spin their wheels when it comes to creating engaging marketing material. Why? Because they aren’t asking the right questions.
SEC, FINRA Enforcement: HFT Firm Charged With Manipulating Closing Prices
In another action, FINRA slapped TD Ameritrade for a recordkeeping failure.
RIA Assets Jumped 12.6% in 2014: IAA/NRS Study
Regulatory assets held by advisors registered with the SEC increased by $6.9 trillion from last year, according to an analysis of filings.
Rep. Garrett to FINRA: Hold Off on CARDS
“After a preliminary reading of the proposed rule, I remain far from convinced that this new, costly and burdensome proposal is needed,” Rep. Garrett says.
Enforcement Roundup: FINRA Fines Morgan Stanley for Failures to Supervise Advisor Program
In other action, Massachusetts charges couple with fraud in real estate ventures.
SEC Panel Backs Broader Definition of Accredited Investor
Investor committee recommends ways SEC can modernize definition for buyers of Reg D offerings; Chairwoman White vows to make “real progress.”
FINRA Arb Panels Lack Diversity, Transparency: PIABA Study
"Diverse groups of people make better decisions," the investor lawyers' group says.
FINRA’s Senior VP of Enforcement Moves to Shulman Rogers
Emily Gordy, FINRA’s senior VP of enforcement, has joined Shulman Rogers as chairwoman of the firm’s Financial Industry Regulatory Group.
SEC to Hold Muni Advisor Compliance Summit
The SEC, FINRA and MSRB will hold inaugural Compliance Outreach Program for Municipal Advisors in Chicago on Nov. 3.
FINRA Releases New Version of Controversial CARDS Plan
FINRA is "committed" to CARDS and plans to move ahead with further changes to BrokerCheck, said Susan Axelrod at the FSI Advisor Summit.