SEC Seeks Budget Boost to Restore Staff
By Melanie WaddellOCIE has requested 24 more individuals, of which 13 would be dedicated to investment advisor and investment company exams.
February 07, 2018
Ladenburg Thalmann Names Chief of Fee-Based Services & SolutionsJohn Blood will focus on enhancing advisory platforms, expanding fee-based advisory work and boosting the firm's position in the RIA channel.
February 07, 2018
How Often Should You Talk to Clients?The key to creating good client relationships is knowing who does what.
February 07, 2018
Fidelity Updates Advisor Tech PlatformMost advisors didn't get into wealth management because they were obsessed with technology, Fidelity's Tim Morello says.
February 07, 2018
Ric Edelman to Advisors: Your Advice to Clients Is ‘Fatally Flawed’Edelman tells T3 attendees how to adjust their businesses for a radical new world so they wont be out of business.
February 07, 2018
SEC Releases 2018 Exam Priorities ListExams will target circumstances in which retail investors may have been harmed, the OCIE director said.
February 02, 2018
Groundhog Day: 5 Ways to Escape a Practice Management Time LoopMany small or family-run businesses repeat the same planning mistakes over and over, wealth manager Jim King says.
February 02, 2018
How to Win Man vs. Machine Advice GameAt TD Ameritrade LINC, executives discuss how the firm is moving to innovate faster than rivals to support RIAs and retail clients.