Cybersecurity Crackdown: Where SEC, FINRA Will Strike
No matter the size of your firm, if your client data isn’t safe, you’re not safe from the SEC and FINRA.
The Hot Gadget in Your Driveway
A tech revolution is remaking auto industry prospects.
SEC Enforcement: Ohio Advisor Hid Shortfall in Client Assets
Meanwhile, the SEC charged a hedge fund advisory firm and its execs with faking earnings.
SEC Halts IRA Scam That Cost Investors $22 Million
Utah-based retirement plan administrator hid losses and allegedly used forged letters and signatures to funnel client money into high-risk investments, the SEC says.
Grieving Clients, Sensitive Advisors
Communication with the bereaved is an increasingly important advisory skill.
Top 15 Cheapest States for Long-Term Care Costs: 2014
Genworth’s 11th annual study provides data on the states with the lowest costs across a range of LTC services.
Mariner Wealth Buys New Jersey RIA With $817M in AUM
CEO Marty Bicknell doesn’t mind the term “rollup firm,” but he says there's a difference between Mariner and other firms that acquire RIAs.
Top 10 States With Fastest 401(k) Growth
The average 401(k) balance in 2012 was nearly $76,000, up 11% over 2011, according to Judy Diamond Associates.
Looming Advisor Shortage Demands New Training Approach
Steve Johnson and other talent mavens aim to change training of millennials, who respond to different methods than prior generations.
NASAA’s Fleming Named SEC’s First Investor Advocate
Rick Fleming, a lawyer, becomes the first person to lead the Office of the Investor Advocate, which was created under Dodd-Frank.