More in Legal

  • Mar 3, 2015
    The Daily Brief

    Bill Gross: Staying Out of the Doghouse

    In his latest investment outlook, Bill Gross, portfolio manager at Janus Capital Group, tells bond investors how they can stay out of the doghouse, so to speak, when it comes to negative interest rates around the world....More
  • Feb 18, 2015
    blog

    Pardon the Disruption

    A new study by TD Ameritrade found that two-thirds of U.S. adults have experienced an event that seriously disrupted their long-term saving and retirement plans. Most common: losing a job....More
  • Feb 13, 2015
    Article

    House of CARDS: FINRA Overreaches Again 1

    FINRA is overstepping the boundaries with its CARDS proposal. The plan will only create risk of a data breach of customers' information and take the compliance function out of the hands of the firms....More
  • Feb 12, 2015
    blog

    Low Barrier to Entry

    Liquid alts investment firm Salient Partners has agreed to acquire Forward Management, a San Francisco-based asset management firm....More
  • Feb 11, 2015
    blog

    Edward Jones Still Has an Edge in Training 1

    Only about one out of every five rookies in the Wall Street brokerage business makes it through year two or three of a four-year training program. But Edward Jones has a leg up....More
  • Feb 5, 2015
    blog

    New House Bill Could Ease Tax Burdens for Indie Advisors

    The House reintroduced a bill this week that would allow small business owners to deduct up to $500,000 in office equipment, which could provide some relief for advisors going out on their own....More

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