Blogs

Mar 18, 2015

I am Going Independent and Want to Gain Media Exposure

In the midst of conducting at least 100 tasks to go independent, don't forget to put together some press releases and contact local media to gain awareness for your new found firm!....More
Jul 30, 2013

ERISA 2013 Trends - Increased Enforcement, Confusion, Fear, Backlash

As we move into the second half of 2013, let’s take a look at some of the meaningful trends as the new ERISA regulatory requirements take hold. •June 2011: Towers Watson study revealed the following top three items on plan sponsors’ minds for the next two years: 1.Regulatory compliance; 2.Investment volatility; and 3.Vendor service....More
Jun 11, 2012

Career Risk1

It's smart to know your limits. Sometimes "No" is the best answer....More
Oct 14, 2015

Summit Trails Adds $1 Billion Team From Barclays

The move to the Dynasty-backed firm is the latest in a host of advisors leaving Barclays after it announced plans to sell its U.S wealth management division to Stifel....More
May 28, 2015

The FINRA Roach Motel: Dismissing a FINRA Arbitration

Motions to dismiss are integral to the court system – they give defendants the opportunity to sidestep hundreds of thousands of dollars in legal fees and unnecessary time defending legally baseless claims. As for the courts, it clears up the docket by allowing judges to only adjudicate legitimate cases, freeing up court time and....More
Jan 18, 2014

Top Insider Trades 1/17/14: MVC, SYRG, RHP, ACSF

Which stocks are getting attention from insiders?....More
Feb 10, 2016

What To Expect At 2016 T3 For Advisors Conference

Some of the things we expect to see at the T3 for advisors conference....More
Dec 07, 2015

Charitable Gifts: Date-of-Delivery Rules

The date-of-delivery rules vary—depending on the type of property contributed and how it’s transmitted to the charity....More
Feb 04, 2016

NASAA Updates Series 63, 65, 66 Exam Content

The Series 63, 65 and 66 exams are keeping with the times. The North American Securities Administrators Association announced Thursday the exams, which are administered by FINRA, will now test for knowledge around social media and cybersecurity topics....More
Feb 12, 2016

Invest Like the New Barbie

Investment lessons from the new Barbies, FINRA bars two brokers, changes at Morgan Stanley and Evercore forms trust company....More
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