SEC, FINRA Come Knocking at RCS After ARCP Accounting Errors
Nicholas Schorsch's RCS says it talks to the regulators as a part of its regular operations and will continue to do so.
Cheerfully Charitable at Schwab
Schwab Charitable's Kim Laughton gets to the nub of why advisors should make charitable planning and community activity a focus of their practices.
6 Essentials to Pick the Right Buyer for Your Practice
Choosing a buyer for your advisory practice should be a piece of cake, so you should simply sell to the highest bidder, right?
Advisor Conflicts of Interest: Finding and Mitigating Them
Keep it simple when it comes to conflicts: assess no less frequently than annually, avoid or mitigate to the extent possible, and disclose thoroughly to clients.
2014 Resolution: This Year, I Will Blog
A blog can connect advisors to a potentially unlimited client pool. But what if blogging intimidates you? Susan Weiner's new book talks you through it.
5 SEC Exam Red Flags: Tom Giachetti
Even your building's cleaning staff can pose a compliance problem, the securities attorney warns.
The Benefits of Tactical Rotation in Any Market: Braver’s D’Amico
A big issue is the way investment solutions have changed and evolved over the past 10, 15 and 20 years.
When Clients Outlive Their Longevity Insurance: QLACs
Favorable IRS treatment makes QLACs—deferred annuity products—more appealing, but their flip side is that the client may not live long enough to reap the longevity benefits. Treasury is proposing a solution.
Why Cost Disclosure Might Actually Work for Clients and Advisors
Knut Rostad may well have hit upon one of the few instances when full disclosure could prove to be a tremendous benefit to clients.
An Unlikely Marriage: The New Term UL
If your clients would benefit from a low-cost, term-like product with permanent features, take a look at Term Universal Life.