Dec 02, 2015

Don't worry, it doesn't need to be signed by mom. Your clients have a new tool to check up on you. On GradeMyAdvisor.com, investors create a free profile and enter their investment portfolio and their advisor. The information is secure, t...

Same-Sex Marriage Not Legal On Tribal Land

Dec 01, 2015

Mario Tama/Getty Images There’s been a great deal of excitement in the past year over the legalization of same-sex marriage nationwide. But there are still a number of places where same-sex couples are barred from marrying without the invo...

Advisers Need a Plan Before Rolling Out Tech Tools

Dec 01, 2015

In the race to compete with low-cost, online algorithm-based investing services, financial advisers are constantly bombarded by sales pitches about the latest and greatest in financial technology...

Moody’s Downgrades RCS Capital’s Debt

Dec 01, 2015

Moody’s Investors Service on Tuesday downgraded RCS Capital's (RCAP) corporate credit rating from B3 to Caa1 with a negative outlook. Moody’s cited the firm’s diminished ability to pay down its debt from ongoing...

Old-Fashioned Exams

Dec 01, 2015

While FINRA considers revamps to its Series 7 exam, some say the tests are outdated barometers of competency in an industry that has changed.

FINRA Expedites Public Disclosure of Advisor Terminations

Nov 30, 2015

The Securities and Exchange Commission recently approved the Financial Industry Regulatory Authority’s plan to reduce the previously established 15-day waiting period to publish details of advisor terminations and investigations on...

RCAP Appoints New General Counsel

Nov 30, 2015

RCS Capital (RCAP) has appointed Mason Allen as its new general counsel, taking over for James Tanaka immediately...

Rich Men Make More When They're Married

Nov 25, 2015

For richer for sure. | armari36/iStock/Thinkstock While high-earning men don’t make more money around the time they marry, their earnings grow throughout the lifetime of the marriage, according to research by Jonathan Marc Bearak, who got ...

Elder Financial Exploitation

Nov 24, 2015

Bill Singer speaks to Jenice L. Malecki, elder law expert and founding partner of Malecki Law, on the rise in the number of baby boomers being taken advantage of by unscrupulous brokers, why another equity downturn will likely bring to light more...

Market Timing Is Possible, But Behavior Gets in the Way

Nov 24, 2015

It's not so mystical after all. Industry pundits and researchers have long debated whether it’s possible to predict market movements. In a new piece, Research Affiliates argues that you can. Co-founder and Vice Chairman Jason Hsu writes t...