Staying SEC-Compliant on Books & Records: Electronic Recordkeeping
By Chris StanleyFor your SEC compliance pleasure, a plain-English translation of the Advisers Acts requirements on how you should maintain your records and provide them to examiners.
January 21, 2014
TD Ameritrade Posts 30% Increase in Q1 Earnings on Record RevenueCompany records $14.5 billion in net new client assets for first quarter of FY 2014; EPS up 30% year over year.
January 17, 2014
Did CFP Board Shorten Exams to Lure Certificants?CFP Board maintains it wasnt making the exam easier; the gut response of the community seems to disagree," says Michael Kitces.
January 17, 2014
Top 3 Issues Advisors Will Face in 2014, Part 2: The Fiduciary IssueResolution of the fiduciary rulemaking by DOL and the SEC is possible, but more definite is an increase in RIA exams.
January 16, 2014
Schwab Earnings Up 51% in Q4 on Record $2.25 Trillion in AssetsNet income of $1.1 billion for full year is most since 2008; RIAs managing $946 billion in assets.
January 16, 2014
New Hire Roundup: Craig Gordon Leaves RBC WealthIn addition, Hamilton Insurance named Sandy Weill chairman.
January 15, 2014
What Do Young Near-Millionaires Need? Advice. What Don’t They Have? Advisors.Emerging millionaires may be risk-averse to a fault and lack financial plans. Less than half have an advisor, Fidelity found.
January 14, 2014
More Advisor Exams? Not Under This SEC Budget, Advocates SayCFP Board, CFA and others say the SEC's pledge to examine more advisors will be tough to fulfill with only a $29 million increase.