Advisors’ Work Begins With Supreme Court’s Ruling on Health Law
By Joyce HansonRIAs who own small businesses, and the stock markets, can now begin digesting the reality of the PPACA.
June 26, 2012
RIAs, Anticipating Growth, Plan to Add Staff This YearWith their client rosters and assets growing, independent RIAs are staffing up, and many are adding women to their employee ranks, according to a survey released Tuesday by TD Ameritrade Institutional.
June 25, 2012
FINRA’s Selman: No Political Appetite for User Fee ApproachThe passage of legislation to allow the SEC to collect user fees to fund advisor exams in the current political environment is very unlikely, a FINRA official said Monday.
June 22, 2012
Top 10 Indie BDs With Best-Producing AdvisorsInvestment Advisor magazines 2012 BD Reference Guide helps sort and rank IBDs in five major categories, with AdvisorOne here highlighting 10 by the annual gross production of their advisors.
June 21, 2012
SEC, FINRA, DOL Enforcement Roundup: Investment Advice From the HeavensRecent enforcement actions included an astrology-based Ponzi scheme, along with fines for Morgan Keegan, Edward Jones and Janney Montgomery Scott.
June 21, 2012
Advisors Beware: SEC’s Large Trader Rule Could Ensnare YouAdvisors who think compliance with the SECs large trader rule begins and ends with an ID number should think again.
June 20, 2012
Top 10 Independent BDs by Annual RevenueInvestment Advisor magazines 2012 BD Reference Guide helps sort and rank IBDs in five major categories, with AdvisorOne here highlighting 10 by annual revenue.
June 15, 2012
CFPB Launches Fact-Finding Mission on Elder AbuseAs the White House was holding a symposium Thursday to raise awareness of elder abuse, the director of the CFPB issued a request for information on best practices for elder financial management.