Federal Regulation
Get the latest news and insights on regulatory developments affecting financial advisors and the stock market and trading, including news about the SEC, DOL, IRS and the Financial Industry Regulatory Authority.
Profiling: How to Get Your Client’s Story
By Bill GoodProfiling is an extremely powerful selling tool, maybe the most powerful sales tool you will ever use. So be sure you ask the right questions.
April 28, 2014
IRS announces 2015 HSA limitsMaximum contributions to health savings accounts will jump slightly next year.
April 28, 2014
Spectrem Millionaire Corner Launches Advisor RatingsWant to know how your clients would rate you? Spectrem Millionaire Corner will now survey them for you.
April 28, 2014
LinkedIn Compliance Program Offers SEC, FINRA HelpLinkedIn is the No. 1 social media channel used and requested by financial advisors, says Stephen Marsh, CEO of Smarsh, a certified compliance partner.
April 25, 2014
FINRA approves changes to broker background checksFirms would have to adopt written procedures that include searching public records.
April 25, 2014
FINRA approves changes to broker background checksFirms would have to adopt written procedures that include searching public records.
April 25, 2014
RIAs: When and Why to Make Form ADV UpdatesThe triggers for other-than-annual amendments to your Form ADVs are many and varied. Best to follow Confucius' advice on the subject.
April 24, 2014
Top 3 Challenges Posed by EU Banking UnionAfter much public bickering, the European Parliament has voted to approve rules to govern the move to a banking union. But challenges remain.