Honoring SMA Managers Who Shine in Rainy and Sunny Times
Finalists for the 11th annual SMA Managers of the Year awards are listed here; winners will be announced at Envestnet Advisor Summit in May.
Envestnet’s 2015 Advisor Summit Makes Clients the Focus
Coach K, Duke University’s legendary basketball coach, is one of many special guests at this year’s upcoming Envestnet Advisor Summit.
Wells' FiNet Indie Advisors Join FSI
Wells Fargo Advisors Financial Network (FiNet) has gifted complimentary FSI memberships to its 1,250 independent financial advisors.
Two Other BD Issues Still Loom
The independent broker-dealer community has consistently and loudly derided the Department of Labor's on-again, off-again plan to redefine fiduciary under the Employee Retirement Income Security Act. In late October, Labor Secretary Thomas Perez said the department continues to “reach out to stakeholders” regarding the redraft of its rule so that...
Perez: DOL Continues Fiduciary Redraft Outreach
DOL wants to “understand with granularity” stakeholders’ problems and concerns regarding the revised rule, the Labor secretary says.
Rep. Garrett to FINRA: Hold Off on CARDS
“After a preliminary reading of the proposed rule, I remain far from convinced that this new, costly and burdensome proposal is needed,” Rep. Garrett says.
10 Commandments of Investor Behavior
Psychologist and behavioral finance expert Daniel Crosby provided 10 rules to manage your clients' investing behavior at FSI’s Financial Advisor Summit.
How 3 Advisors Handle Social Media Compliance
At FSI's FA Summit, three financial advisors discussed their social media best practices and how they each handle social media compliance.
FINRA Releases New Version of Controversial CARDS Plan
FINRA is "committed" to CARDS and plans to move ahead with further changes to BrokerCheck, said Susan Axelrod at the FSI Advisor Summit.
DOL Chief’s Potential Departure Wouldn’t Stop Fiduciary Plan
In the unlikely event Labor Secretary Perez replaced Holder as attorney general, "stalwarts" like Borzi would keep DOL’s fiduciary fires burning, observers said.