Expect Big Changes to Retirement, Fiduciary Rules in 2019
By Melanie WaddellOther regulatory priorities are expected to include cybersecurity, new advertising and cash solicitation rules by the SEC.
December 21, 2018
How Indie Advisors Can Get More Love (and Service) From Their FirmsIn weaving your way through broker-dealer procedures, there are some specific ways to obtain as much attention and assistance as you need.
December 21, 2018
3 Client-Centric New Year's Resolutions to Help Your BusinessFor 2019, make a promise to follow these three resolutions that will help your clients and expand your business.
December 21, 2018
Robertson Stephens Relaunches Wealth Group With Private Equity BackingAmong its new executives is Mike Curley, the former chief compliance officer of First Republic Securities, who oversaw 600-plus registered reps.
December 20, 2018
SEC's 6 Compliance Exam Priorities for RIAs in 2019The SEC "will maintain its focus on critical market infrastructure and Main Street investors" in the year ahead, says Chairman Clayton.
December 20, 2018
Stifel, Raymond James Grab Wirehouse Reps: Recruiting RoundupMeanwhile, LPL Financial says Athens Federal Community Bank is now using its hybrid platform.
December 20, 2018
A Fresh Way to Overcome Growing PainsIn 2019, taking a different perspective on change might be your advisory firm's ticket to success.
December 19, 2018
Digital Assets and ICOs to Get More Clarity, Face More Rules in 2019Attorneys see more CFTC guidance on virtual currencies as commodities, and continued fiduciary pressure on advisors and brokers involved in crypto.