The age of financial secrecy is ending
By Bob SeawrightThe new transparency means there's a power shift between customers and those trying to serve and profit from them.
May 04, 2015
Getting Back That ‘New Business’ FeelingThink back to when you first started your firm: how excited, motivated and inspired you were.
May 04, 2015
Experts Take Aim at DOL Fiduciary RedraftOne ERISA lawyer perhaps said it best after digesting the DOL's 700-page fiduciary redraft: There is so much to say. I don't know where to begin.
May 04, 2015
An SEC Broker Fiduciary Standard May Undermine the ’40 ActIn my March 25 blog on ThinkAdvisor.com, Will She or Won't She? Mary Jo White and the Broker Fiduciary Standard, I voiced some concerns about SEC Chairwoman White's recent remarks at SIFMA's Legal and Compliance Seminar in Phoenix pertaining to the SEC's plans to move forward with a fiduciary standard...
May 04, 2015
11 Steps to Successful Time Management for Solo PractitionersIf youre an advisor working by yourself, organization is critical to building and sustaining your practice. Here's how I do it.
May 01, 2015
Summer’s Coming: When Trends and Fundamentals Disagree — Searching for Alpha for May 2015Do current fundamentals support last months equity pullback, or is this is a case where market action and fundamentals simply disagree?
May 01, 2015
SEC Investigates Bank of America for Doing NothingIf you make it too obvious that your transaction is about getting around rules, that's the sort of thing that the SEC doesn't like.
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