Pay-to-Play Compliance Reminders for Advisors at Election Time
Remember Rule 206(4)-5 of the Investment Advisers Act? The SEC does. You should, too, especially if you or your advisory firm associates make political contributions.
Should 401(k)s Have Bitcoin?
Its advocates acknowledge it's a risky investment but, they say, acceptance is growing, as is interest from institutional investors.
Tavakoli Turns Her Fire From Crony Capitalists to Muslim Fundamentalists
New book by structured finance expert discusses the ‘Unveiled Threat’ of a woman who knows how to follow the money.
Should the FPA Get Behind the CFP Board, or Go It Alone?
The FPA appears to be at a crossroads in its history, having to decide between two paths for its future.
BlackRock Cuts Fees and Expenses on Three Bond Funds
The cuts come as Bill Gross’ PIMCO departure is sending billions of dollars to competing firms.
Bob Rodriguez: New Great Recession Coming in 3 Years
The country is treading a tenuous path toward another disaster of massive proportions, according to legendary fund manager Bob Rodriguez.
Compensation Disclosures ‘Taylor-Made’ for Conflicts
In a case strikingly similar to the one that spawned the widely covered lawsuit by Florida financial planners Jeff and Kim Camarda, the CFP Board notified a Los Angeles advisor that it had opened an investigation into his use of the term “fee-only” to describe his RIA.
The ERISA Mystery
I advise many clients throughout the U.S. regarding Employee Retirement Income Security Act (ERISA) engagements.
How to Start Your Own RIA Firm
In my previous article on the affiliation options that an advisor has, I led you to the point of deciding whether you wanted to be an employee advisor, an independent contractor advisor or your own registered investment advisor.
4 More Annuity Answers Investors Need to Know
NAFA has released a paper that helps advisors answer clients' most important annuity questions.