Tittsworth letter encourages agency to reallocate existing resources to bolster examinations.
Chairman says agency has the authority to implement such a rule.
Well-known blogger and industry gadfly continues to pepper online advisers.
Three longtime veterans of the Carson Wealth Management Group, one of LPL Financial's highest-grossing firms, with about $4.3 billion under management, left to join other firms in recent weeks.
Introducing 'the law of 1,920' to underline that advisers' income is completely dependent on where they spend their work hours in a year
Both SIFMA and FSI cautious about Finra proposal to strengthen its database.
Newly integrated platform includes reporting tools and data management services.
Strong growth in 2013 won't diminish rising pressures on RIA firms, as competition, regulation and margin compression continue to pose threats. <b><i>Plus: <a href="http://www.investmentnews.com/section/specialreport/20140601/RIARUNDOWN">Our RIA Rundown 2014 Special Report</a></b></i>
Find out which states have the richest fee-only RIAs and don't miss the <a href="http://www.investmentnews.com/gallery/20140528/FREE/528009999/PH">15 fastest-growing RIAs</a> from IN's <a href="http://www.investmentnews.com/section/specialreport/20140601/RIARUNDOWN">RIA Rundown 2014</a>.
If the industry hopes to build trust, clients have to understand what they're paying, executive tells crowd at conference in New York.
LPL Financial has suffered a recruiting slowdown in the first quarter and puts part of the blame on an unusual factor &mdash; this winter's rough weather.
Motif launches platform for advisers to ease, speed portfolio re-balancing.
Commissioner Daniel Gallagher says adviser stats likely equal to registered rep stats from Finra.
Using gamification can help further conversations.
The head of TD Ameritrade's RIA custodian says advisers should consider fee linked to wealth beyond stocks and bonds
'FP Hackers' brainstorm issues facing new businesses &mdash; and even refer clients to one another
The future of business is being determined at breakneck speed. Joe Duran says that the companies of tomorrow are tapping into a few deep-seated human desires today.
Now that it looks like the SEC will get an additional $150 million in funding, speculation is mounting on how the funds will be deployed. Is increasing adviser oversight going to be a priority?
Pushing her colleagues to decide whether to propose a regulation to raise investment advice standards for brokers, the SEC chairman called the uniform fiduciary standard 'a primary, immediate focus.' <i>(See what Mark Cuban had <a href="http://www.investmentnews.com/article/20140221/FREE/140229971" target="_blank">to say</a>.)</i>
Camardas can seek monetary damages and pursue anti-trust violations in case in which they are suing the CFP Board for sanctioning them.
