Three Big Trends in RIA Industry: 2012 TechLeaders Conference
By John SullivanTim Welsh, president and founder of Nexus Strategy, discussed several major trends in the RIA space, like stronger demand for independent advisors and Canadians looking southward.
March 19, 2012
At ASPPA, TD Ameritrade Shows Focus on Retirement SpaceAt ASPPA 401(k) Summit, TDAI looks to partner with advisors entering qualified plan business: The 'right place, right time' for advisors to get into the business.
March 19, 2012
HighTower’s Weissbluth: ‘Brokers Are Butchers; Fiduciaries Are Dietitians’Elliott Weissbluths two-and-a-half minute whiteboard animation video recently posted on YouTube calling brokers butchers and fiduciaries dietitians is drawing quite a bit of attention.
March 16, 2012
Bond Supply to Get Tighter in 2012—Good Thing for Buyers: LPL’s ValeriLPL Financial market strategist Anthony Valeri predicted that the 2012 bond market will see only negligible growth, in a repeat of 2011.
March 15, 2012
Goldman Sachs Ripped by Critics for History of Putting Profits Over ClientsGreg Smiths very public resignation from Goldman Sachs has sparked heated discussion in the financial services industry, not only on the propriety of Smiths New York Times op-ed but on the substance of the former Goldman executives accusations against the firm.
March 15, 2012
SEC Adds 130 Examiners for ‘Priority’ Areas: Exam Chief di FlorioCarlo di Florio, director of OCIE, told CCOs that the SEC has hired 130 new examiners over the last 18 months and that the agency is focusing on three 'priority' areas when it comes to advisory firms.
March 15, 2012
What’s Behind Congressional Freeze on SEC Funding?In part one of a two-part series on the Bizarro World inside the beltway, a skeptical observer suggests theres a method to the madness of starving the SEC of what it needs to do its job.
March 13, 2012
Likely on Its Way: Greater Compliance Burden for AdvisorsA little historical perspective on investment advisor registration: past is prologue.