SEC Chief: Advisor Exam Crunch Is a ‘Serious’ Investor Protection Issue
By Melanie WaddellSEC chief White tells senators the current 10% advisor exam rate is cause for "great concern" and discusses fiduciary rules.
May 04, 2015
Why the IA 35?While Im not a fervent believer in the Great Man theory of history, I do believe that individuals make a big difference in the history of the world, of nations and of families.
May 04, 2015
The 2015 IA 35 for 35These advisor advocates, investors, politicians and thought leaders have stood out over the past 35 years and will influence financial services for decades to come.
May 01, 2015
A Little-Known Bond Vehicle for When Interest Rates RiseTarget date bond ETFs have been skating under the radar since 2010. But that could change when markets become convinced that rates will soon rise.
April 30, 2015
Israeli Startups’ Early Exits Yield Investment OpportunityCrowdfunding platform targets the U.S. RIA market in the capital-hungry startup nation.
April 30, 2015
LPL Earnings Decline but Revenues, Assets RiseThe IBD paid $11 million in regulatory charges for the quarter but expects such costs will decline later in '15.
April 30, 2015
What Your Clients’ Personalities Say About Their PortfoliosContemporary psychologists believe there are five basic dimensions of the human personality. These traits can influence financial behavior and investing patterns, a study found.
April 30, 2015
New Hire Roundup: Killgoar to Head Strategy, Consulting at Raymond James' FIDMeanwhile, Wilmington Trust has named Fredrik Berg vice president of sales for its global capital markets team in Europe.