SEC Wants Big Form ADV Changes
The SEC has approved a plan to require advisors to provide more data on separately managed accounts, branch offices and social media on Form ADV.
IAA’s Tittsworth to Step Down
Providing a year’s notice will give “ample opportunity for the IAA Board ... to identify my successor,” David Tittsworth said.
TD Ameritrade Unveils 3 Critical Advisor Initiatives as National Shindig Begins
The plans cover three critical areas of interest for advisors: the search for the next generation of advisors; advocacy in Washington for a fiduciary standard, and enhancing TDAI's technology offerings to provide more efficiency to RIAs.
FPA Names Janet Stanzak Its 2013 President-Elect
The Minnesota financial planner says she will help bring strategic focus to FPA's leadership; she notes that during her career she has “walked in the shoes of the majority of our members."
Remedy to Boost Advisor Exams Out of Reach This Year
Two important issues for the advisory industry will remain unresolved until next year: how to boost investment advisor exams—either through a self-regulatory organization (SRO) or via user fees—as well as a rule to put brokers under a fiduciary mandate.
Snooki Joins AdvisorOne as Blogger; Will Explore Financial Planning Challenges of Young and Rich
Jersey Shore’s leading light will explore how advisors can serve clients with serious self-esteem and substance abuse problems, but who do meet their minimums.
2011: The Year the Advisors’ Playing Field Fundamentally Changes
All eyes this year will be focused on the exchanges that will ensue between lawmakers and the Securities and Exchange Commission.
Donohue on the Rand Report & Paulson
The SEC has a number of initiatives on its plate this year that could make advisors' lives easier, or not. For instance, advisor regulation will...