Rulebook http://wealthmanagement.com/blog/246001/feed en An Unexpected Peril of Going Independent: Employment Claims http://wealthmanagement.com/blog/unexpected-peril-going-independent-employment-claims <div class="node-body blog-body">Many independent advisors don’t know what’s involved in hiring employees, and it’s resulting in a fast-growing segment of RIA litigation: employment-related claims. </div> <p><a href="http://wealthmanagement.com/blog/unexpected-peril-going-independent-employment-claims" target="_blank">read more</a></p> http://wealthmanagement.com/blog/unexpected-peril-going-independent-employment-claims#comments RIAs Blogs Regulation & Compliance Rulebook Thu, 07 Jul 2016 19:58:00 +0000 1230771 at http://wealthmanagement.com Pershing Launches New Resources to Help Firms Comply With DOL http://wealthmanagement.com/blog/pershing-launches-new-resources-help-firms-comply-dol <div class="node-body blog-body">At its annual INSITE conference, Pershing announced a collection of new resources to help financial services firms comply with the DOL's fiduciary rule. </div> <p><a href="http://wealthmanagement.com/blog/pershing-launches-new-resources-help-firms-comply-dol" target="_blank">read more</a></p> http://wealthmanagement.com/blog/pershing-launches-new-resources-help-firms-comply-dol#comments Industry Rulebook Thu, 09 Jun 2016 17:52:00 +0000 1205321 at http://wealthmanagement.com Weissbluth: DOL Rule Riddled With Loopholes http://wealthmanagement.com/blog/weissbluth-dol-rule-riddled-loopholes <div class="node-body blog-body">HighTower CEO Elliot Weissbluth says the Department of Labor’s rule waters down fiduciary and is riddled with exceptions, such as the one that allows brokers to continue to sell proprietary products. </div> <p><a href="http://wealthmanagement.com/blog/weissbluth-dol-rule-riddled-loopholes" target="_blank">read more</a></p> http://wealthmanagement.com/blog/weissbluth-dol-rule-riddled-loopholes#comments Legal Blogs Rulebook Mon, 11 Apr 2016 21:21:00 +0000 1156321 at http://wealthmanagement.com Inside an IRS Imposter Scam http://wealthmanagement.com/blog/inside-irs-imposter-scam <div class="node-body blog-body">Someone claiming to be from the Internal Revenue Service called me twice today. Here’s what happened when I called them back. </div> <p><a href="http://wealthmanagement.com/blog/inside-irs-imposter-scam" target="_blank">read more</a></p> http://wealthmanagement.com/blog/inside-irs-imposter-scam#comments Taxes Blogs Rulebook Tue, 08 Mar 2016 19:26:00 +0000 1127671 at http://wealthmanagement.com MetLife Can’t Shake SIFI Designation http://wealthmanagement.com/blog/metlife-can-t-shake-sifi-designation <div class="node-body blog-body">Even after MetLife agreed to sell off its advisor force to MassMutual on Monday, the company could not wiggle free of its label as a systemically important financial institution.</div> <p><a href="http://wealthmanagement.com/blog/metlife-can-t-shake-sifi-designation" target="_blank">read more</a></p> http://wealthmanagement.com/blog/metlife-can-t-shake-sifi-designation#comments Industry Blogs Rulebook Thu, 03 Mar 2016 13:44:00 +0000 1122101 at http://wealthmanagement.com Almost Half of Advisors Fired for Misconduct Rehired http://wealthmanagement.com/blog/almost-half-advisors-fired-misconduct-rehired <div class="node-body blog-body">Almost half of advisors who were fired from firms because of misconduct found new employment within the industry within a year.</div> <p><a href="http://wealthmanagement.com/blog/almost-half-advisors-fired-misconduct-rehired" target="_blank">read more</a></p> http://wealthmanagement.com/blog/almost-half-advisors-fired-misconduct-rehired#comments Industry Blogs Rulebook Mon, 29 Feb 2016 19:48:00 +0000 1119501 at http://wealthmanagement.com Vermont Beefs Up Cyber, Elder Abuse Safeguards http://wealthmanagement.com/blog/vermont-beefs-cyber-elder-abuse-safeguards <div class="node-body blog-body">Under a new set of rules out of Vermont, RIAs must have written procedures around cybersecurity and report instances of financial abuse. </div> <p><a href="http://wealthmanagement.com/blog/vermont-beefs-cyber-elder-abuse-safeguards" target="_blank">read more</a></p> http://wealthmanagement.com/blog/vermont-beefs-cyber-elder-abuse-safeguards#comments Blogs Regulation & Compliance Rulebook Mon, 22 Feb 2016 18:13:00 +0000 1113811 at http://wealthmanagement.com <p>Copyright&nbsp;Jordan Silverman, Getty Images.&nbsp;</p> FINRA Launches Information Sweep on Firm Culture http://wealthmanagement.com/blog/finra-launches-information-sweep-firm-culture <div class="node-body blog-body">The Financial Industry Regulatory Authority is asking more than a dozen broker/dealers to submit information on their policies and procedures that go toward establishing a firm’s “culture.” </div> <p><a href="http://wealthmanagement.com/blog/finra-launches-information-sweep-firm-culture" target="_blank">read more</a></p> http://wealthmanagement.com/blog/finra-launches-information-sweep-firm-culture#comments Industry Blogs Rulebook Thu, 18 Feb 2016 20:59:00 +0000 1111121 at http://wealthmanagement.com NASAA Updates Series 63, 65, 66 Exam Content http://wealthmanagement.com/blog/nasaa-updates-series-63-65-66-exam-content <div class="node-body blog-body">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.</div> <p><a href="http://wealthmanagement.com/blog/nasaa-updates-series-63-65-66-exam-content" target="_blank">read more</a></p> http://wealthmanagement.com/blog/nasaa-updates-series-63-65-66-exam-content#comments Industry Blogs Rulebook Thu, 04 Feb 2016 20:51:00 +0000 1098961 at http://wealthmanagement.com FINRA Plans Changes to Registration and Testing Rules http://wealthmanagement.com/blog/finra-plans-changes-registration-and-testing-rules <div class="node-body blog-body">The Financial Industry Regulatory Authority will be working on a number of rule changes in 2016, including moving forward on its plan to revamp license testing, as well as creating a waiver program for those taking a leave of absence or performing different job functions.</div> <p><a href="http://wealthmanagement.com/blog/finra-plans-changes-registration-and-testing-rules" target="_blank">read more</a></p> http://wealthmanagement.com/blog/finra-plans-changes-registration-and-testing-rules#comments Industry Blogs Regulation & Compliance Rulebook Thu, 28 Jan 2016 20:11:00 +0000 1093221 at http://wealthmanagement.com <p>Bob Colby, FINRA&#39;s <span class="st">Chief Legal Officer</span></p> IBDs Lagging in Cybersecurity Safeguards http://wealthmanagement.com/blog/ibds-lagging-cybersecurity-safeguards <div class="node-body blog-body">When it comes to cybersecurity, independent broker-dealers lag the wider industry on utilizing basic safeguards to protect customer information and prevent fraudulent activity.</div> <p><a href="http://wealthmanagement.com/blog/ibds-lagging-cybersecurity-safeguards" target="_blank">read more</a></p> http://wealthmanagement.com/blog/ibds-lagging-cybersecurity-safeguards#comments IBDs Technology Blogs Rulebook Tue, 26 Jan 2016 17:12:00 +0000 1090391 at http://wealthmanagement.com Chamber of Commerce to Fight DOL Fiduciary Rule http://wealthmanagement.com/blog/chamber-commerce-fight-dol-fiduciary-rule <div class="node-body blog-body">The U.S. Chamber of Commerce said Thursday it will use every tool at its disposal to challenge the Department of Labor’s proposed fiduciary rule, including a potential lawsuit and working with Congress.</div> <p><a href="http://wealthmanagement.com/blog/chamber-commerce-fight-dol-fiduciary-rule" target="_blank">read more</a></p> http://wealthmanagement.com/blog/chamber-commerce-fight-dol-fiduciary-rule#comments Blogs Rulebook Thu, 14 Jan 2016 18:22:00 +0000 1076001 at http://wealthmanagement.com ETF, Variable Annuity Sales Top SEC's 2016 Watchlist http://wealthmanagement.com/blog/etf-variable-annuity-sales-top-secs-2016-watchlist <div class="node-body blog-body">The Securities and Exchange Commission will be looking more closely at exchange traded funds and variable annuities this year.</div> <p><a href="http://wealthmanagement.com/blog/etf-variable-annuity-sales-top-secs-2016-watchlist" target="_blank">read more</a></p> http://wealthmanagement.com/blog/etf-variable-annuity-sales-top-secs-2016-watchlist#comments Blogs Regulation & Compliance Rulebook Mon, 11 Jan 2016 18:59:00 +0000 1073181 at http://wealthmanagement.com Senior Hotline Sees Early Success http://wealthmanagement.com/blog/senior-hotline-sees-early-success <div class="node-body blog-body">The Financial Industry Regulatory Authority’s Securities Helpline for Seniors has responded to over 2,500 calls and helped recover nearly $750,000 from investors since the service launched in April.</div> <p><a href="http://wealthmanagement.com/blog/senior-hotline-sees-early-success" target="_blank">read more</a></p> http://wealthmanagement.com/blog/senior-hotline-sees-early-success#comments Industry Blogs Regulation & Compliance Rulebook Thu, 31 Dec 2015 15:33:00 +0000 1065641 at http://wealthmanagement.com <p>Copyright Steve Eason, Hulton Archive, Getty Images.</p> WATCH LIVE: Federal Reserve Meeting http://wealthmanagement.com/blog/watch-live-federal-reserve-meeting <div class="node-body blog-body">Follow along as the WealthManagement.com staff provides up-to-the-minute on what advisors need to know about the Federal Reserve's decision to hike interest rates for the first time in nearly a decade.</div> <p><a href="http://wealthmanagement.com/blog/watch-live-federal-reserve-meeting" target="_blank">read more</a></p> http://wealthmanagement.com/blog/watch-live-federal-reserve-meeting#comments Markets People Blogs Fixed Income Rulebook Wed, 16 Dec 2015 16:32:00 +0000 1057651 at http://wealthmanagement.com <p><em>Copyright Chip Somodevilla, Getty Images</em></p>