Linkup aimed at helping Pettinga Financial cope with 'onslaught' of new regulations
The Financial Industry Regulatory Authority's top executive said federal regulators are “very likely” to force U.S. brokers to meet stricter requirements for acting in the best interests of their clients.
Have the frigid temperatures and mountains of snow across so much of the country made you a shut-in? Are you itching to escape your home office and meet clients and prospects?
Advisers are confused and un-certain about web-based document storage and document vaults
Summit Financial Services Group Inc. has hired Don Shula, 81, the winningest football coach in NFL history, to play on its team.
In the name of investor protection, we urge the Securities and Exchange Commission to exercise its rulemaking authority to require brokers to act in their clients' undivided best interests at all times. We are also reiterating our call for the SEC to recommend to Congress that the jurisdiction of the Financial Industry
Private placements require a higher level of scrutiny than listed securities, so advisers need to know who is doing the auditing and whether independent due diligence is being conducted. <i>InvestmentNews</i> News Editor Bruce Kelly explores some of the risks and issues engulfing the industry.
Custodial firms have been raising the compliance bar for registered investment advisers, in some cases making it tougher for them to find a home.
In a Washington where Republicans are ascendant — taking over the House and increasing their Senate numbers to a level that ensures filibuster success — the term “regulation” is unpopular.
Social media sites such as LinkedIn and Twitter are redefining the way businesses reach their customers. Securities firms, however, are largely absent from the revolution.
Like many aspects of the financial-regulatory-reform legislation that became law July 21, the provision that increases the threshold for state regulation of investment advisers doesn't go into effect for another year.
State securities regulators are meeting next week to begin planning for the examinations of more than 3,000 investment advisers expected to come under their jurisdiction next year.
The College for Financial Planning is offering a new designation — accredited domestic partnership adviser — for planners who work with gay, lesbian, bisexual and transgender couples.
A new rule aimed at making the financial advisory business more understandable to clients is giving advisers a headache.
As we enter the New Year, financial advisers are probably asking themselves about the strength of the recovery and whether their firm is positioned to capture new clients and talent
Hundreds of financial advisers switched firms this year, many looking for opportunities to build equity in themselves and some exiting after mergers, according to <i>InvestmentNews</i> data.
A Wirehouse Adviser, Regional Firm Broker, and a Boutique Firm Adviser are sitting with me for dinner. None of them are particularly happy with their current firms.
