Designations matter to your clients
Bottom line: Even if all those credentials are confusing, you need to earn them
Finra’s disclosure on use of fine money a good first step to more transparency
More openness about its finances is welcome and may be a precursor to greater disclosure about other areas of its operations.
Independence of auditors critical when easing broker regulations
Basically, the legislation would create simplification.
A more expansive future requires multiple pricing models
Charging fees based on assets under management is OK, but the modern financial advice business is starting to cut varied paths toward different pricing models that might be better both for clients and the overall industry.
Does the SEC really need to define ‘best interest’?
Now's the time for brokers and advisers to weigh in.
IPO filing could usher in new era of legitimacy for RIAs
It seems only natural that IPOs will be the next step.
No good reason not to support auto-enrollment retirement plans
55 million American workers without a workplace plan must have the opportunity to get that coverage and start investing. They aren't doing it on their own.
Financial schemes against seniors are most often committed by people closest to them
Advisers can — and should — take steps to discourage elder financial fraud.
Transparency, credibility, fairness: Finra’s decision to explain rationale for penalties is a welcome one
Agency strikes a balance between punishment and deterrence.
Financial advisers must manage retirees’ aversion to risk with behavioral finance skills
Advisers should be ready to prepare older clients for an altered game plan.