BDs Watch Out: FINRA Issues 2012 ‘Watch List’
FINRA released on Tuesday its 2012 regulatory and examination “watch list,” which provides a laundry list of products the regulator will be zeroing in on.
Look at GOP Candidates; Markowitz Defends MPT; 10 Team Building Mistakes: August Research—Slideshow
Author and analyst Nicole Gelinas laments the absence of meaningful debate on the one key issue in today’s economy: the houses of debt Americans are living in. Plus, practical advice on teambuilding, storyselling and more...
Mastering Social Media
In a sign of the times, 600 advisors at an Investment Management Consultants Association conference recently crammed into a training session called “Get Linked In, Not Left Out: Compliance Friendly Ways to Harness Social Media’s Power in Your Practice.” That’s no typo: 600.