NASAA president David Massey sits down with <i>InvestmentNews</i> reporter Liz Skinner and discusses the potential impact of Finra regulation over investment advisers, and also how state regulators will deploy "more intelligent regulation" as they take on the oversight of all investment advisers under $100 million. <a href=http://assets.investmentnews.com/Bruno/massey_final.mp3>(Click here to listen.)</a>
In my ongoing effort to keep advisers abreast of ways to engage the next generation, I came across an entertaining website for you to share with parents or grandparents who can in turn share with their young ones.
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.
Glass-Steagall may have gone the way of the Berlin Wall, but true integration of banking and brokerage has taken a lot longer to achieve than German reunification
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?
After a short hiatus, Brian Stimpfl, former longtime TD Ameritrade executive, has landed at Actifi Inc.
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.
Because of the near-mania over the Apple iPad, I've been bombarded of late by advisers who want to incorporate the device into their practices but aren't really sure what it can do for them.
