Marketing and Communications
Explore the latest news about advisor marketing strategies and wealth management communications.
NASAA: States Doled Out $579M in Enforcement Penalties in 2014
By Melanie WaddellPrivate placement offerings, real estate investments and crowdfunding were ripe areas for fraud, state securities regulators reported.
September 21, 2015
SEC Fines First Eagle, Affiliate $40 Million for Improperly Charging ShareholdersThe firms used shareholder money instead of 12b-1 fees to pay for fund distribution, the SEC said. Similar enforcement actions could be in the offing.
September 18, 2015
How to Profit From Falling Commodity PricesThere are a variety of strategies for bear bets against commodity prices, some riskier than others.
September 18, 2015
Top Portfolio Products: New ETFs From State Street and DirexionHedge your currency risk or double down on a leveraged sector stock bet? That's what some of this week's new portfolio products offer.
September 18, 2015
What Retiring Clients Need From Advisors (That Robos Don’t Do)Clients and prospects need help planning for rising health care costs and dealing with Social Security issues, HealthView's Ron Mastrogiovanni says at RIIA event.
September 17, 2015
Advisors Downplay Fed’s Interest Rate DecisionToo much emphasis is being placed on the significance of this event, one advisor said as the FOMC announced it was keeping rates unchanged.
September 17, 2015
FINRA Floats Plan to Help Block Elder ExploitationA rule under consideration would place a temporary hold on disbursements from accounts of elderly or disabled people if there is suspected financial exploitation.
September 16, 2015
Cheaper Advice Isn’t Always Better AdviceCommission-based advisors can make recommendations based on a client's best interests, but given the conflicts involved, can they be relied upon to do so?