Advisors Get Online Help to Identify ‘Switch’ Requirements: NASAA
By Marlene Y. SatterNASAA said that the resource is located on the association's website and offers, as a convenience for advisors, information on individual state registration requirements.
March 30, 2012
On 5th Anniversary of FPA’s Win on ‘Merrill Rule,’ Fight ContinuesLawsuit whose victory surprised and delighted many changed the conversation in Washington while industry still awaits shape of a final fiduciary rule.
March 30, 2012
How Are Guns N’ Roses and TCW Fund the Same? Reformed Broker Has AnswerDowntown Josh Brown, the Twitterati's favorite Reformed Broker, is at it again, stirring up trouble this time by comparing TCW's recent performance with Guns n Roses.
March 29, 2012
Wirehouses Lose Top Spot in HNW Market for First TimeWirehouse firms are getting hammered from every direction in the competition to attract high-net-worth investors, a report from the financial services industry research firm Cerulli says.
March 29, 2012
Best Advisor Firms Ranked by Advisors: J.D. Power 2012 Satisfaction SurveyAdvisors are happiest when they feel that management truly supports the firms stated values and client interests come first, says the J.D. Power advisor satisfaction study.
March 26, 2012
What ‘Better’ Regulation Might Look LikeA favorite complaint of advisors is regulation.
March 26, 2012
Who Needs Ya, Baby?Recently, fi360 CEO Blaine Aikin wrote a column for InvestmentNews about the AICPAs Code of Professional Conduct.
March 26, 2012
Another Breakaway Merrill Advisor Heads to HighTowerMike Papedis of HighTowers business development unit says the addition of Charles Holt to the Pagnato-Karp Group shows how compelling the RIA business model is to individual advisors.