The Practice: Regulatory/legal issues
October 14, 2013
Held-Away Assets Can Boost Your Bottom Line
Still, many advisors have compliance and other concerns.
October 8, 2013
Reimagining the Industry in an Ideal World
Bob Veres would abolish VAs and make economists wear wizard hats.
September 26, 2013
Advisors Should Report Financial Abuse of Elders: Feds
Regulators issue a statement clarifying an exception to privacy laws.
September 25, 2013
Warn HNW Clients About Private-Placement Ads
The SEC has lifted a ban on soliciting by high-risk funds.
September 20, 2013
A Rule on Broker Bonus Disclosure Will Go to to the SEC
Finra's latest proposal raises the reporting threshold to $100,000.
September 19, 2013
Investing in Compliance Has Multiple Payoffs
Todd Cipperman, Cipperman Compliance Services
Besides avoiding regulatory problems, a good program can boost your practice’s value.
Discuss this Column
September 18, 2013
LPL Swears to Its Brokers, “We’ll Do Better”
Top executives promise improved technology and more responsive management.
September 16, 2013
NAPFA Refocuses on Member Education
The industry group wants to become a better career-development resource.
September 13, 2013
Tips for Enhancing the Value of Your Practice
Think of your practice as a miniature Apple or General Motors.
September 11, 2013
The Fiduciary Standard Gives RIAs an Edge
But only if they explain to prospects how it differs from suitability.