SEC Wants Big Form ADV Changes
By Melanie WaddellThe SEC has approved a plan to require advisors to provide more data on separately managed accounts, branch offices and social media on Form ADV.
May 15, 2015
Advisors, You’ve Been Serve(d)! For ThinkAdvisor’s Military SurveyThinkAdvisor invites advisors to tell us about your military service so we can share your stories in our ongoing Advisors Who Serve(d) slideshows.
May 15, 2015
DOL Extends Fiduciary Comment Period by 15 DaysWith the 15-day extension, the initial comment period will be 90 days and the department anticipates the opportunity for public comments may be more than 140 days in total, DOL says.
May 15, 2015
Edward Jones Among Best Employers for Military in 2015Edward Jones has been recognized by CivilianJobs.com as a 2015 Most Valuable Employer for Military for its efforts to recruit and train military veterans as financial advisors.
May 15, 2015
Forget Fiduciary: Real Battle Coming Over HarmonizationSEC "hasnt been doing its job for a long time," MarketCounsel CEO Brian Hamburger says, and the DOL fiduciary controversy obscures a bigger fight ahead.
May 14, 2015
Lou Harvey: Looking for Mr. Dalbar—The 2015 IA 35 for 35The wizard behind the curtain of the ubiquitous research firm helped popularize behavioral finance and keeps the industry on top of important issues.
May 14, 2015
Dividend-Paying Stocks May Be Riskier Than Many Think"Some of the highest dividend-paying stocks tend to be some of the riskiest, says Jim Cahn, CIO of Wealth Enhancement Advisory Services.
May 14, 2015
Wells Fargo Adds Morgan Stanley Reps; LPL Picks Up Team From JPMorganAlso, an LPL affiliate forms an RIA partnership to attract new reps to its network.