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
Nov 23, 2015

Advisor Headcount Rises But Not for Long

Advisor headcount grew for the first time in nine years, Cerulli says. But the growth will only last for the next three years, before the numbers fall off again....More
Sep 28, 2015

CRT Capital Gain Avoidance Plan Quashed

Final Regulations issued to eliminate an existing loophole....More
Nov 10, 2015

SEC Chair Mary Jo White Dances Around Fiduciary Timeframe

The head of the Securities and Exchange Commission played coy again on Tuesday when outlining a timeframe the industry can expect the the regulator’s uniform fiduciary standard....More
Nov 30, 2015

Thank Advisors for Goldman’s New ETFs

Demand from financial advisors drove Goldman Sachs' first foray into exchange traded funds, says Steve Sachs, head of capital markets at the firm....More
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