FINRA Reaches for Feedback on Broker Comp Disclosure Rule
FINRA’s board announced Friday that it would seek comment on its controversial plan to require brokers to disclose their compensation packages to clients.
FINRA to Mull Broker Compensation Disclosure Rule
December Board meeting will consider several rule proposals and amendments, chief among them a proposal that would require broker-dealers to disclose compensation packages to customers.
Calming Client Stress; Managing Risk With Managed Futures: November Investment Advisor—Slideshow
Believe it or not, good news in the financial industry may be making your clients feel more stressed out.
FINRA to Restructure BrokerCheck, Giving Investors More Power
Proposed changes include not only unifying BrokerCheck and the SEC’s IAPD system, but also divulging broker/advisor test scores.
Five Most-Read Stories: LPL's IPO, VA Guide, Taxes on Wealthy
AdvisorOne's Most Read Stories for the week of Nov. 13-19, 2010 include the LPL IPO and a new guide to evaluating VAs.
Evaluating Broker-Dealer Service
It's no secret: One of the main reasons reps leave firms is lousy back room service. Sure, all broker-dealers claim to offer terrific service. However, when...
LPL Financial's IPO: The Competitive Equation
The parent company of the largest independent broker/dealer, LPL Financial, filed an S-1 statement with the SEC on June 4 to go public via an...
LPL Financial's IPO: Recruiting Implications
While LPL Financial has been grooming itself to go public for a long time, the move announced June 4, is bound to bring changes, both to its advisors and to its recruiting efforts. What might those be?
LPL Financial's IPO: The Impact on Recruiting
What the recruiters say about the B/D's plans.
Power of the Platform
Schwab, Fidelity, and Pershing have a new competitor, now that LPL Financial has taken what many consider to be the next logical step as the...