FINRA OKs Plans on BrokerCheck Link, Expungement and Arbitrator Definition
FINRA's board on Thursday approved three rule proposals — including one to limit how many investor complaints a broker can have expunged from BrokerCheck.
FINRA Pulls Plug on BrokerCheck Social Media Plan
After complaints, FINRA on Wednesday withdrew its proposed requirement that advisory firms include a reference and a link to BrokerCheck on their websites.
Moody’s Downgrades French Banks
Moody’s Investors Service cut France’s three largest banks by one notch, citing a 'very high' probability that the French government would intervene with support.
Answering the Public Pension Question
Funding gaps. Benefit cuts. Fiscal reform. Budget repair. No matter where you live today, it’s hard to ignore the challenges that many state and municipal pension systems are facing.
SEC & DOL Disagree on Universal Fiduciary Standard
Can the SEC and the Department of Labor work together to resolve the confusion surrounding the fiduciary standard?
Split Decision: Fees Plus Retainers May Be the Answer
Harold Evensky, Angie Herbers and the blogosphere weigh in on whether now is the time for advisors to switch to retainers from asset-based fees.
POINT: Rising Dividends for Retirement Income
The topic of retirement income is on the top of most advisors’ minds these days.
Being the ‘Boss’ of an Advisory Firm Is Harder Than You Think
Understand, employees, that balancing your needs with those of other employees, the business and their own needs is no small task, even for full-time managers.
Six Ways to Identify Unhappy Employees
In my work with advisory practices, I’ve found that the best way to deal with unhappy employees is to build a firm that creates happy—and great—employees.