SEC’s Top 3 Enforcement Priorities
By Bernice NapachStephanie Avakian, co-director of enforcement, said the agency is trying to be more strategic, expanding the use of digital analytics in investigations.
November 09, 2017
LPL Says Retention of NPH Reps at 70%If it hits 72% of fees and commissions, the IBD will need to pay up to $123 million more for its acquisition.
November 09, 2017
Millennials Want Their Financial Advice Right Now, and It Better Look PrettyAt a conference, Ron Carson talked about losing a billion-dollar client's millennial heirs to an advisor more attuned to their needs.
November 09, 2017
How to Retain Your Clients, and Your Sanity, When Switching FirmsFollow these five steps to help smooth the transition for your clients and their assets.
November 08, 2017
Tibergien’s Comments on RIAs Are Tough, but Deserve to Be HeardThe Pershing Advisor Solutions CEO's candid comments to me about the industry are sure to upset many RIAs.
November 08, 2017
For Clients Selling Their Businesses, M&A Can Get MessyDetermining the anticipated proceeds of the sale of a client's business is not always as simple as it seems.
November 08, 2017
SEC Shows Off Cybersecurity Muscle Following EDGAR BreachStill, there are questions on how many cases will be brought by the new cyber unit.
November 08, 2017
SEC Creating Searchable Database of Bad BrokersThe site will be particularly valuable for spotting fraudsters who have been stripped of their registrations, SEC Chairman Clayton said.