SEC’s Top Exam Priorities for 2015: Retirement Savers, Branch Offices
By Melanie WaddellThe regulator also will zero in on reps who offer "a variety" of fee arrangements.
January 12, 2015
ThinkAdvisor’s 2014 Q4 Earnings Calendar for the Finance SectorA list of full-year and fourth-quarter 2014 earnings release dates for companies of interest to financial advisors and investors.
January 08, 2015
Time to Reform FINRA: Mercatus PaperA paper from the Mercatus Center's Hester Peirce argues that FINRA exhibits a troubling independence from government, industry and the public.
January 08, 2015
Need Professional Help? If You’re Looking for a Successor, Hire a RecruiterWhen it comes to hiring a successor, using a professional recruiter is not really an option any more: You just need to do it.
January 07, 2015
SEC to Conduct ‘Presence Exams’ on Never-Examined AdvisorsSECs 2015 exam priorities will include protecting investors, particularly retirees and pre-retirees; market structure issues like cybersecurity; and using data to identify illegal activity.
January 07, 2015
Firm Builds Niche Client Base of Pro Baseball StarsWinpoint's Joe Geier, advisor to Cal Ripken Jr. and dozens of other pros, tells the story of how he broke into advising MLB stars.
January 06, 2015
Morgan Stanley Picks Up Ex-Merrill Institutional Team in ChicagoRaymond James adds independent RIA group, while HighTower brings on a former UBS group.
December 30, 2014
Should CFP Board Settle Camarda Case? My Argument and the Board’s ResponseIs it time to settle the case quietly, before it goes to trial? I say yes, but the CFP Board chairman begs to differ.