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
Jun 25, 2015

Technology a Top Priority For RIA Growth

Advisors are optimistic about the industry and are making technology a top priority to grow their businesses, according to a new study released by Schwab....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
Jul 28, 2015

LPL Assures Advisors up to 41 Percent Growth

LPL Financial is promising their advisors can grow up to 41 percent if they utilize the firm’s technology solutions, including its ClientWorks platform....More
Jul 20, 2015

Baseball—The Great American Past-And-Tax Time

A-Rod’s 3000th hit brings into play income, gift and charitable deduction issues....More
Jul 08, 2015

FSI Taking the Fiduciary Fight to Consumers

With advisors actively mobilized on the Department of Labor’s fiduciary proposal, the Financial Services Institute is now turning its sights to investors with a new initiative that gives consumers a chance to weigh in....More
Jul 29, 2015

Surviving a Natural Disaster - Financially

The National Endowment for Financial Education, American Red Cross and the American Institute of Certified Public Accountants have teamed up to create a guide for how to survive a natural disaster - financially....More
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