Table of Contents
A look at how four cities are thriving for financial advisers. Also, rankings of fee-only RIAs in each of the four major regions in the U.S.
When she takes over the SEC this month, Elisse Walter will both celebrate the crowning achievement of her regulatory career and confront her biggest political headache.
A Finra proposal to require brokers to tell customers about bonuses and other compensation incentives they receive to join another firm drew sharp reactions after it was announced last week. The Financial Industry Regulatory
A significant number of financial advisers have taken serious hits to their reputation since the financial crisis. In some cases, those dings have been deserved. For others, however, guilt by association has taken a
Although President Obama's appointment of Elisse Walter as chairman of the SEC will provide a degree of continuity at the agency, it also raises questions about how effective it will be for the near future.
Explore your opportunities and be informed for your next move.
February 11, 2014
February 10, 2014