The SEC and FINRA Proclaim: Trust No One!
Our industry doesn't deserve to be painted by regulators with the lowest common denominator. Case in point: the SEC actions against CCOs
The Best SEC Speech Ever
An SEC lifer retires, and blasts the agency's 'broken-windows' strategy and revolving door to Wall St.
How the SEC Plans to Be ‘Everywhere’
Despite limited resources, the agency is leveraging its strengths to zero in on advisors’ smallest infractions.
The New and Improved Form ADV
Whether an RIA is describing its investment strategy in advertisements or in the new Form ADV Part 2, it is important the firm articulates material risks faced by advisory clients and avoids language that might be construed as a guarantee.
Top 10 Movies for Great Financial Advice
"Great," that is, if you believe crooked lawyers, con men and serial killers.
SEC to Crack Down on Lying Advisors
The SEC crackdown, Robert Khuzami said, was akin to “the crime-fighting approach championed by Rudy Giuliani in 1990s New York–-if you stop people when they commit small infractions, they are less likely to graduate to bigger ones.”
Giuliani Joins Forces with RIA Firm
Former New York City Mayor Rudy Giuliani's firm has joined forces with New York registered investment advisor Nine Thirty Capital to combat investment fraud.
Fixing the Broken Windows
As practices get larger, owners risk losing touch with their staffs and the culture they are trying to create. In many growing firms, owners frequently...
A Brand New Bag
In the last few decades our industry has undergone a profound transformation. Client needs, the regulatory environment, and investment opportunities and delivery mechanisms have all...
Optimism Flows at TD Ameritrade
Tom Bradley riding high at Florida gathering