Enforcement: Nationwide to Pay $140M in 13-Year ERISA Settlement
By Marlene Y. SatterIn another action, the SEC charged the owner of a home restoration business with securities fraud for selling unsecured notes to investors.
December 16, 2014
CFP Board Calls First Computer-Based Exams a ‘Success’CFP Board CEO Kevin Keller congratulates those who passed what he called a very rigorous exam.
December 15, 2014
5 Steps to Replicate Your Best ClientsIs there a way to find new clients that are similar to, if not exactly like, your best clients?
December 15, 2014
In Search of the Best Financial Planning Software: A Road BlockI really like Thomson Reuters portfolio management platform, but if an agreement cant be reached with my custodian, TradePMR, Ill have some decisions to make.
December 11, 2014
How Advisors Can Be the Next DisruptorsFinancial advisors neednt fear the ravages of disruptive technology, Jud Bergman, Spenser Segal and Eric Poirier say.
December 10, 2014
More Advisor Audits Needed—Only Not From SEC: Pitt, SchweissHarvey Pitt and Skip Schweiss agree: it's time to privatize advisor audits.
December 10, 2014
How Advisors Can Secure FinancingFor advisors with attractive cash flow but lacking collateral, loans are available if you know where to look for them and how to get approved.
December 10, 2014
Lawmakers Push Vote on Spending Bill; SEC Funding BoostedLawmakers avert shutdown with a deal late Tuesday, but critics call it a stealth attack on financial reform.