So You Want to Launch Your Own ETF?
By Gil WeinreichWith a strong idea, loyal clients or unique niche, today you could rightly say: When I want to invest in an ETF, I launch one.
January 19, 2015
Navigating the minefield of fiduciary liabilityHere's what advisors are doing to safeguard themselves in a litigious world.
January 16, 2015
Schwab Posts Record '14 Profits, Sales; New Client Assets Hit $124.8 BillionNet income was up 23% for year to $1.3 billion on 11% rise in revenues to $6.1 billion; client assets up 10% to $2.46 trillion.
January 16, 2015
Raymond James Picks Up $1.3M Rep From UBSAlso, Stratos Wealth added two advisors near Columbus, Ohio.
January 15, 2015
Is a Single Advisor Dashboard Coming Your Way?And is a single client portal in the offing as well? To get there, the Big Three advisor technology solutions must go beyond mere integration.
January 13, 2015
An Investor-Friendly Way to Switch Broker-DealersAdvisors can use some creative techniques when telling clients why they changed broker-dealers or custodians. Start with your new firm's financials.
January 13, 2015
SEC’s Top Exam Priorities for 2015: Retirement Savers, Branch OfficesThe regulator also will zero in on reps who offer "a variety" of fee arrangements.
January 12, 2015
8 Oddest Enforcement Cases of 2014Office equipment trafficking, a broker who gave client money to charity and more offbeat cases from the SEC and other regulators.