Fines imposed by the Financial Industry Regulatory Authority in 2014 are poised to far outpace those reported by the regulator in 2013, according to an analysis released Aug. 1 by the law firm Sutherland Asbill & Brennan.
Two Other BD Issues Still Loom
The independent broker-dealer community has consistently and loudly derided the Department of Labor's on-again, off-again plan to redefine fiduciary under the Employee Retirement Income Security Act. In late October, Labor Secretary Thomas Perez said the department continues to “reach out to stakeholders” regarding the redraft of its rule so that...
The SEC Is Broken; Evaluating Smart Beta; Where Are the Privately Owned BDs?: December Investment Advisor—Slideshow
As the main regulator of the financial services industry, the SEC has three important jobs, but the agency is facing headwinds that keep it from doing those jobs as efficiently as possible.
Women Are Still Important
There's an unfortunate tendency among journalists to become inured to issues long before their readers.
Get the Word Out to Get Women In; Blending Active and Passive Strategies: October Investment Advisor Features—Slideshow
For our second annual women’s issue, Investment Advisor spoke with several female executives and business owners for an inside look at the state of women in the industry.
Has the CFP Board Overplayed Its Hand With the Camardas?
Even if the Board wins its suit, what will be the long-term cost in the hearts and minds of other CFPs?
Regulating Cybersecurity; Understanding Social Security: June Investment Advisor Features—Slideshow
Protecting their personal information, much of which is stored online nowadays, from hackers is an important individual responsibility, but for financial advisors there is an added responsibility to protect their clients’ data from thieves.
Reality Bites: Busting the Myth of Financial Planning
The founders of "financial planning" made a mistake: they focused on the wrong thing.
The 2014 IA 25 on the Next Generation of Advisors and Clients
Advisors and their clients are aging together. What does that mean for the industry?
IA 25 2014: The Regulators and Advocates—Slideshow
Who’s more influential than the people crafting the laws advisors and brokers have to work by?