Consider the Spin: New SEC Study Positions FINRA for Added Duties
By Bob ClarkBoston Consulting Group's study of the SEC, mandated by Dodd-Frank, suggests that the SEC rely more on SROs to fulfill its duties. Candidates, anyone?
March 14, 2011
Three Due Diligence Challenges in Evaluating ‘Emerging’ ManagersIt can be challenging to assess the rewards—and risks—of boutique money managers. But it may be worth the effort.
March 14, 2011
Portfolio Fix: Using Mining ETFs as a Commodity PlayThe rise in metals prices is now flowing through to earnings for metals producers.
March 14, 2011
Categorizing Your Advisory Firm Client Base to Replicate Your Best Clients: A How-ToTaking a quantitative approach to determining how much revenue--direct and from referrals--are derived from each client, so you can start working on replicating the best clients.
March 14, 2011
Japan Quake, Fed Rates and CPI: Advisor Briefing for the Week of March 14, 2011The top market-moving news for the week: the Japanese earthquake, the Fed meeting, and inflation readings, including PPI and CPI.
March 11, 2011
An Update on the 'Switch' and a Brief History LessonThis month, state securities regulators throughout the United States are observing 100 years of protecting investors. A century ago, Kansas Banking Commissioner…
March 09, 2011
The risk of commoditizationOver the past year, I've had discussions with colleagues from a wide variety of financial services and employee benefits disciplines.
March 09, 2011
The risk of commoditizationOver the past year, I've had discussions with colleagues from a wide variety of financial services and employee benefits disciplines.
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