Why It's Time to Really Engage With Clients
By Janet LevauxThere are some exciting and powerful ways advisors can connect with clients and their assets today, explains one wealth-management veteran.
October 25, 2022
The Power of Building a CommunityAdvisors need to broadly rethink who their prospective clients are and how to best attract them, the leader of one advisory firm explains.
October 24, 2022
Is Reg FD Unconstitutional? — SEC RoundupFlorida International University College of Law Dean Antony Page talks about an interesting case that's going to trial.
October 04, 2022
Will NASAA's REIT Plan Sync With Reg BI? — SEC RoundupAnya Coverman of the Institute for Portfolio Alternatives discusses the two competing models of regulating nontraded REITs.
September 14, 2022
XRP Tokens Caught in Crypto Oversight Crosshairs: SEC RoundupAttorney John Deaton says the SEC's jurisdictional "land grab" of crypto will affect XRP token holders.
August 31, 2022
Blowing the Whistle on How Insider Tips Are Handled: SEC RoundupIn a secretive process, the SEC looks to private lawyers to examine whistleblower tips, professor Alex Platt says.
August 16, 2022
Why Balking at SEC Rules Will Not Make You a Target: SEC RoundupSuzan Rose of the Alternative Investment Management Association explains why firms should not be reluctant to air their views on SEC proposals.
August 04, 2022
Reg BI Will Be Defined Case by Case, Cetera's Chief Legal Officer Says: SEC RoundupThe SEC "intends to enforce Reg BI however they define it," says Lisa Gok.