Regulators Battling Elder Abuse Say Free Lunches Aren’t So Free
By Emily ZulzRepresentatives from the SEC, FINRA and NASAA discussed the problems free-lunch seminars and senior designations can cause, as well as the potential for pause laws.
October 08, 2015
25% of Wirehouse Advisors Expected to Go Indie by 2019: CerulliA majority of wirehouse advisors' retention contracts will expire by 2019 but where will they go?
October 06, 2015
SEC Needs to Move on Fiduciary Rule, Ex-SEC Chiefs SayAt TD Ameritrade Advocacy Leadership event, ex-SEC Chairwoman Mary Schapiro said, I feel very strongly the SEC needs to move forward now on fiduciary.
October 05, 2015
7 Ways Advisors Can Add Clients, Stay RelevantOn a Morningstar panel, all the experts agreed that a solid value proposition is key to retaining and growing an advisor's client base.
October 02, 2015
Top Portfolio Products: Schwab Adds Commission-Free ETFsThere are more choices than ever for investing overseas, from ETFs that hedge currency exposure to funds that focus on sustainability.
October 01, 2015
Plan Sponsors Looking for New Advisors Despite Record Satisfaction: FidelityFidelity's Sponsor Attitudes survey found satisfaction and perceived value at record levels, but retirement plan sponsors are still looking for a new advisor.
October 01, 2015
Coming Soon to RIAs: More Sales Calls From Asset ManagersMore than 6 in 10 asset managers have a sales force dedicated to RIAs, up from less than half last year, reported kasina.
September 30, 2015
Recruiting Roundup: $3 Billion Merrill Team Goes IndieThe advisors form Corient Capital and partner with Dynasty Financial Partners in Southern California.