Are You a Leader or Manager?
By Angie HerbersHow you run your firm can make the difference between focusing on business growth and focusing on employee dissatisfaction and turnover.
October 17, 2018
SEC Reg BI Would Make It 'Substantially Easier' to Bring Enforcement Actions: PeirceThe agency's proposed Form CRS also "suffers from a paper-centric and regulator-centric status quo," SEC Commissioner Peirce said.
October 17, 2018
Top 6 Trends in Wealth Management: Chip RoameFor one thing, the boomers aren't going anywhere anytime soon.
October 16, 2018
Carson Group Adds Committed Assets, StakeholdersThe group added added $1.2 billion in committed assets and 12 new firms.
October 15, 2018
Is Private Equity Bad for Broker-Dealers?PE is filling the void left by insurance companies. There are some benefits, but it's not always pretty.
October 15, 2018
TD Ameritrade Now Educating Investors With VRThe virtual reality tool is intended to show investors what stock and options exchanges, as well as a Bitcoin mine, are really like.
October 15, 2018
SEC Does Not 'Dictate' Cyber Controls, Cyber Chief SaysThe SEC is more focused on preparedness, cyber chief Robert Cohen said at a NASAA Cybersecurity Roundtable.
October 15, 2018
Orion Users Now Can Use FinMason's 5-Minute Financial PlanFinMason CEO Kendrick Wakeman says integration places advisors "80% of the way" to what full-blown financial planning software provides.