4 More Annuity Answers Investors Need to Know
NAFA has released a paper that helps advisors answer clients' most important annuity questions.
Enforcement Roundup: Stock Scam by New Yorker Used to Pay for Vacation, Plastic Surgery
Meanwhile, Rajaratnam brother to pay more than $840,000 for insider trading.
Big Reg Charge Slashes LPL’s Q3 Earnings Forecast
One analyst says LPL's "inability to guide effectively on expenses," particularly regulatory ones, is a "recurring problem."
Fiduciary Rule to Snag BDs on IRA Rollovers
The DOL is likely to hold broker-dealers who chase IRA rollovers to the same fiduciary standards retirement advisors must meet, ERISA attorney Fred Reish says.
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.”