When Advisors Should Be Quiet
Sometimes, nothing is what clients most need to hear.
Branham, Schadle (and Brand) Assess Strides Made, Future Goals of FPA
At annual conference, a look at the 'business discipline' that's now in FPA's genetic makeup, along with an update on the group's advocacy efforts.
10 Worst States for Business Taxes
The Tax Foundation’s 2014 State Business Tax Climate Index used five key factors to determine rankings, with these states being the most burdensome
New Hire Roundup: Ohio Securities Commissioner Andrea Seidt to Lead NASAA
Stephanie Zaffos joined Convergent Wealth Advisors, Scivantage welcomed Jim Toussignant, and the SEC announced three staff promotions.
Exams Not Required for Some Minnesota Advisors
The Minnesota Department of Commerce will waive requirements that IARs have a Series 65 or 66 license. FSI called the move a “regulatory victory.”
12 Best U.S. Cities for Successful Aging
The Milken Institute rankings, compiled every other year, tally 78 variables on metropolitan regions, with surprising results.
It's Time for Congress to Ban Forced Arbitration for Investors
The Investor Choice Act would level the playing field for ordinary investors by prohibiting mandatory pre-dispute arbitration agreements in BD and advisor customer contracts.
Who Gets the Beach House? A How-To for Advisors on Helping a Family Decide
When Merrill's Stacy Allred sat down to help a family preserve their beach house, she quickly found herself facing a challenge that has affected many families.
New Hire Roundup: CFPB Names Antonakes Deputy Director
Justin Frys became a branch manager for Zeigler in Minnesota, and Chad Parks joined Beacon Research as sales director.
FINRA Review, Investor Choice Act Highlight Arbitration Anomalies
Two recent initiatives are intended to work in investors’ favor when it comes to the controversial practice of arbitration agreements.