Building Your Business
Explore the latest industry news and advice that can help financial advisors build and grow successful practices.
SEC Names Goodman National Associate Director of BD Exams
By Melanie WaddellThe 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
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.
November 12, 2013
Recognizing Veterans at Schwab ImpactAcknowledgement of those who served, donations to the Foundation for Financial Planning, and a call for help from the industry for returning veterans.
November 12, 2013
Helping Female Advisors Navigate a Male-Dominated ProfessionWe are losing women in this profession and we do have a gender issue in this profession, Rebecca Pomering of Moss Adams Wealth Advisors said.
November 11, 2013
Manulife plays the LTCI rate gameStaying in the market may increase opportunity without adding to risk, an executive says.