TD Ameritrade Boosts Onboarding With Platform Upgrades
By Marlene SatterEight tech firms are integrating with the Veo One platform.
December 17, 2018
Details on What the New FPA Is (and Isn't)According to the group's incoming president, chapters are not set to be eliminated, though their legal entities would be.
December 17, 2018
SEC Warns RIAs to Review Electronic Communication PoliciesAn OCIE Risk Alert zeros in on advisor infractions of the Books and Records and Compliance Rules.
December 13, 2018
Advisors 'Neutral' on Broker Protocol's Impact on Going Indie: SchwabIn a new report, Schwab surveyed 152 advisors that have considered becoming independent registered investment advisors.
December 13, 2018
SEC Looks Deeper at Advisors' Share-Class Use, Revenue SharingThe SEC is targeting advisors who didn't make voluntary 12b-1 fee disclosures "but perhaps should have," attorneys say.
December 13, 2018
Why Rushed Year-End Comp Plans Are a No-NoBuilding a successful compensation plan takes three to four months, involves collecting feedback and getting buy-in from staff. Give this task the time it deserves.
December 13, 2018
Ameriprise, Raymond James Nab Wells Fargo Reps: Recruiting RoundupMeanwhile, LPL says that two of its affiliated groups have merged, forming a super OSJ with over 100 advisors and $4 billion in assets under advisement.
December 12, 2018
How Advisors on Each Coast Help Clients Navigate New Tax CodeHow two advisors in high tax states are being proactive with clients on the new tax law, especially the SALT fallout.