Regulators Take Aim at Share Class Disclosure
By Melanie WaddellAttorneys and compliance experts see the SEC and FINRA crackdowns as a 'big deal' that foretells the demise of 12b-1 fees.
January 30, 2019
Richest in US Have a Few Tricks to Avoid Democrats' Tax PlansAs any HNW-focused advisor knows, when it comes to reducing taxes, high earners have plenty of (legal) options.
January 22, 2019
FINRA Forum Shows Promises and Pitfalls of New TechnologiesHow experts from the securities industry and its regulators view AI, blockchain and other new technologies
January 08, 2019
Is SEC's Reg BI Coming in Q1?Attorneys are reading the tea leaves on the likelihood that Reg BI, part of the agency's advice-standards package, will get finalized soon.
January 07, 2019
Ex-SEC IM Director: Help Your Clients Avoid a Personal Financial CrisisAdvisors should help clients "get in shape" and reduce debt, former SEC investment management Director Norm Champ tells ThinkAdvisor.
January 03, 2019
TV Ads in Financial Services: What Works, What Doesn'tFinance marketing pros tell ThinkAdvisor what they think of recent ads from Wells Fargo, Schwab, Fisher and others.
December 21, 2018
Commodities: A Bright Spot on 2019 Investment Horizon?As trade wars and slowing growth take a toll on traditional investments, commodities may be investors' best friend.
December 21, 2018
Why Advisors Should Consider Sustainable Investing in 2019Among the many reasons: climate change, risk reduction and the generational wealth transfer.