Editor's Note: Broker-Dealer Insights
By Janet LevauxWe are pleased to share these insights from the four winners of the Broker-Dealer of the Year Awards.
August 28, 2018
Do Titles Matter? Advisors Weigh InIndustry officials and advisors discuss the SEC's plans to restrict brokers' use of "adviser" and "advisor."
August 28, 2018
Are Plan Advisors Overpaid? Ted Benna Says Yes"Father of 401(k)s" discusses five changes he would make to today's retirement plans, and one is to cut fees.
August 28, 2018
Classic Cars: How to Protect Your Clients' InvestmentSuccessful individuals are increasingly turning to classic cars as an investment. Make sure you know how to map out protection.
August 28, 2018
It's All About the BenjaminsA more aggressive stance by SEC examiners means advisors need to be prepared and able to respond to the questions below.
August 27, 2018
SEC Orders Transamerica Affiliates to Repay $97M Over Rookie's Faulty Quant ModelsThe four affiliates launched the products and strategies "without first confirming that the models worked as intended," SEC said.
August 24, 2018
More Fintech and Active/Passive Analysis in Next Year's CFA ExamThe updated CFA curriculum reflect the latest changes in investment management.
August 24, 2018
$100M Pension Scam Run by Ex-Con Hit With LawsuitsAn "eager and complicit network" of brokers and advisors made the scam possible, said attorney Joseph Peiffer.