Table of Contents

Issue Date: December 2, 2012

Special Report Archive

Regional RIA Rundown

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.


News

New SEC head faces gridlock

By Mark Schoeff Jr.

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.

Sparks fly over plan to disclose bonuses

By Dan Jamieson

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

Reputations can suffer when dings go online

By Bruce Kelly

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


Editorial

SEC too important to keep in limbo

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.


Just Thinking

Other Voices

Investment Strategies

Practice Management

Retirement Watch

Succession Planning

News for Financial Advisers

Technology Update

People