Gridlock Likely in New Congress as Fiduciary Regs Hang in Balance
The list of regulations and legislation that the advisory industry will be watching — and lobbying to influence — in the new year is long.
New Hire Roundup: Envestnet Names Hardwick President of Advisor Services
Meanwhile, New York Life has appointed Kathleen Navarro its chief diversity officer.
5 Big Hiring Mistakes We Made and How to Avoid Them
Advisors can learn much from these personnel fumbles we made at our growing firm, says Katherine Vessenes.
Securities America Nabs Ex-Advisor Group Recruiter
Gary Bender spent the bulk of his career at independent broker-dealers Royal Alliance and Woodbury.
Schwab Impact 2014 in Pictures: Bettinger, Bernanke and (Not) Bush
With record attendance and high-profile speakers, Schwab’s annual shindig for its RIAs delivered.
Schwab Impact Awards Go to 3 RIA Firms, Recordkeeper
Schwab Advisor Services gave its first-ever Best-in-Retirement Business honor in addition to its RIA awards.
Why NASAA Is Leading the Charge Against Elder Fraud
At least one-third of the enforcement actions initiated by state securities regulators involve senior investors, and NASAA is tackling the issue head on.
House Dems Call for SEC Crackdown on Corporate Anti-Whistleblower Practices
Lawmakers say “overly restrictive nondisclosure agreements,” for example, threaten the SEC's whistleblower program.
The New Retirement Dream: Relocation
Moving where money goes further has gained popularity as a retirement strategy.
Top 10 Worst Baseball Contracts
Excluding the players in the World Series, there are many contenders for a baseball list that no one wants to be a part of.