SEC Issues Warning on Cloud-Based Storage Solutions
By Melanie WaddellA risk alert warns that advisors and broker-dealers are not using the available security features.
May 23, 2019
DOL Fiduciary Rule Release Set for DecemberAn earlier release is possible given the SEC's expected timeline on Regulation Best Interest.
May 23, 2019
Raymond James Nabs $1.6B Merrill, Wells Fargo Teams: Recruiting RoundupMeanwhile, four UBS advisors have gone independent with Dynasty Financial Partners, and a wirehouse family team joins LPL Financial.
May 22, 2019
Learn From Your Younger Team MembersImplementing a reverse mentorship program has many benefits, which firms of any size can realize.
May 22, 2019
Advisors Need Advisors, TooRIAs need to understand the math: The more a practice is worth, the more the owner can sell it for upon retiring.
May 22, 2019
LPL to Enter Employee ChannelThe firm also plans to boost tech spending, in part to support this move.
May 22, 2019
Broadridge Acquiring RPM Technologies to Expand Canadian PresenceThe purchase will further strengthen Broadridge's Canadian wealth management business.
May 22, 2019
NASAA Adopts Cyber, Privacy Model Rule, Releases Annual ReportNASAA is also exploring a continuing education requirement for IARs.