SEC Lays Out Advisor Exam Priorities for 2013
By Melanie WaddellThe regulator's top concerns include new, never-regulated advisor registrants and dually registered advisors.
February 19, 2013
Impressions From T3 Conference: The Future Is Bright, Part 1Perhaps one of the most striking themes heard at the conference is that the technology solutions have become so numerous, one of the greatest challenges is just choosing among them all.
February 15, 2013
Is Financial Planning Becoming Commoditized? Pt. 2, the OutlookThe pressure is on for those who are masquerading as financial advisors without really providing valuable financial planning advice.
February 14, 2013
Financial Planning and Commoditization, Pt.1: Defining TermsFinancial planning itself may remain remarkably resistant to commoditization, but that doesn't mean some advisors aren't in trouble.
February 14, 2013
SEC’s Walter: Fiduciary Rule Under ‘Serious Consideration’"I think this [rulemaking] should be a priority because it is a benefit to investors," Sen. John Tester of Montana told the chairwoman during a Senate Banking Committee hearing on Thursday. "You should push it."
February 12, 2013
FINRA Up to Its Old Tricks With SRO Strategy ShiftFINRA's apparent strategic shift over an SRO for advisors to the Senate is the latest in a series of moves it's made over the decades to protect the brokerage model.
February 08, 2013
More Advisors on the Move in 2013: DiamondDiamond Consultants says this year will be a more robust recruiting year than last, based on conversations with advisors and deals closed in January.
February 07, 2013
TD’s Schweiss Keeps Tabs on Hot-Button Regulatory IssuesFar from dying on the vine, the SEC fiduciary issue will remain in play, TD's Skip Schweiss says.