The Practice: Regulatory/legal issues

• May 8, 2014

  Brokerages Are Winning the Fiduciary War

  With its lobbying might, the industry tends to get what it wants.

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• May 5, 2014

  Rules on Reviews Could Change FA Directories

  But will clients use familiar consumer sites or hunt for specialists?

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• May 1, 2014

  The Menace of High-Frequency Trading

  Thomas Sedoric, Wells Fargo Advisors

  Advisors should be lobbying Washington, on clients’ behalf, to regulate the practice.

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• May 1, 2014

  Be a Hero. Update Your ADV Form

  Prompt action helps RIAs do right by clients and avoid regulatory hassles.

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• April 30, 2014

  Morgan Stanley, Merrill Among Firms on Watch for Dementia

  One executive says the industry needs stronger laws to prevent elder abuse.

  Last Comment: May 1, 2014
  2 Comments
• April 24, 2014

  RIAs Are Better Off Without Finra Oversight

  Janaya Moscony, SEC3 Compliance Consultants

  The job properly belongs to the SEC — though it needs more resources.

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• April 22, 2014

  The SEC May Demand More Trade Disclosure

  Spelling out transaction details would shed light on “best execution.”

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• April 16, 2014

  My Move: Credit Suisse to Independence

  An advisor bides his time until he has full confidence in his support systems.

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• April 16, 2014

  Should Finra Say How Often You Failed a Licensing Test?

  One study shows advisors who must retake the Series 63 get into more trouble.

  Last Comment: April 16, 2014
  3 Comments
• April 14, 2014

  Offshore Accounts Have Plenty of Legal Uses

  Forget tax evasion — clients may need diversification, insurance and more.

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