Building Your Business
Explore the latest industry news and advice that can help financial advisors build and grow successful practices.
What would make you more satisfied and productive at work?
By staff WriterHow can companies dramatically increase the percentage of employees who are engaged and satisfied at work?
November 14, 2013
SEC Names Goodman National Associate Director of BD ExamsThe SEC has named Kevin Goodman national associate director of the broker-dealer examination program in the Office of Compliance Inspections and Examinations.
November 13, 2013
Few Millennials paying their wayThe number of young adults living with their parents is at its highest level in more than 40 years.
November 13, 2013
Throw the Bums (Adult Children) Out!A crop of new studies suggest the millennial generation needs a good talking to with advisors bolstering their parents.
November 13, 2013
CFP Board, Under Pressure, Drops CE PlanBoard says it wont enter the CE provider space at this time; announces multiyear plan to improve offerings.
November 13, 2013
New Hire Roundup: Obama Taps Massad as CFTC ChiefMeanwhile, SEC named Gaunt chief of enforcement divisions municipal securities and public pensions unit, Rob Jasminski joined Citi Private Bank and more.
November 13, 2013
A Commission-Only Crackdown? Really?CFP Board is right to restrict the affiliation of fee-only advisors with BDs and right to require brokers to describe themselves as fee and commission.
November 12, 2013
$900M UBS Group Moves to Dynasty; LPL Team Jumps to Raymond JamesThe New York-based team going independent includes four former wirehouse advisors, while the LPL group has three reps at $310 million in assets.