Independent advisers cannot afford to spend 2014 on the sidelines. The regulatory burdens facing our industry will not ease up unless we all stay focused, regardless of the political circumstances.
More lawyers, chiropractors, insurance agents and others are running for elected office to help safeguard their professions from forces opposed to them. It's time financial planners did the same. Here are some tips.
Running for political office comes with risks for advisers, but also has an upside for the financial advice business
'Misunderstanding' led to termination, arbitrators say; former adviser wins a $525,000 award.
In a dispute focused on real estate investments, the indie B-D and a former broker 'breached fiduciary duty, were negligent,' complaint says. Big award comes with split decision.
Disclosure would help investors know whether broker is serving their best interest.
“Love the fact that Commissioner Aguilar is CRUSHING the SEC on its turnover,” Cuban tweeted. “I'm liking this guy a lot.”
Commission spells out activities it will focus on during exams.
Western Asset Management Co. will pay $21 million to settle charges involving internal cross-trading and coding errors resulting in losses to institutional investors, the SEC announced Monday.
Osnato to move from agency's New York office
Commission and Finra are concerned that brokers are steering investors into higher-fee accounts.
Finra seeking to bar advisers even in small expense account error cases. <i>Check out these <a href="http://www.investmentnews.com/gallery/20140120/FREE/120009998/PH" target="_blank">8 expense account blunders &mdash; from the wacky to the mundane</a></i>
In 2014, SEC officials expect to take a 'swipe' at the group of about 4,000 RIAs that have never been examined before, but critics are skeptical. It's no game of gotcha, the agency's compliance chief says.
Finra's report on how to avoid conflicts of interest seems to be pushing brokers toward the fiduciary standard already used by investment advisers. How far can it go?
The financial services business is out of touch regarding the sensitive issue of compensation even as the American public remains angry at Wall Street bankers for the credit crisis. Bruce Kelly explains.
Streamlined exams will enable SEC to conserve resources and conduct more RIA audits
Agency sets 2014 priorities, which include keeping an eye on B-D sales practices, fixed income markets.
Financial adviser allegedly spent more than $10K on someone else's credit card
<i>Friday's menu:</i> Gold rides high on the taper effect, playing smart defense with a wide-moat ETF, blaming cold weather in February, stirring the income inequality pot, why you should complete your LinkedIn profile, and the SEC shows some love.
Three former WJB Capital Group Inc. executives were charged with defrauding investors of more than $11 million in a bid to prop up the now-defunct broker-dealer. The trio pleaded not guilty.
