More Advisors Using, Prioritizing Social Media, Survey Says
Sep 19, 2011
Not only are more advisors using social media for business purposes, but more are making it a priority. According to a Socialware survey of nearly 150 FAs on their use of social networking sites, 40 percent of advisors said they’re making...
RIA Interest in Financial Planning Grows, Industry Data Suggest
RIA Interest in Financial Planning Grows, Industry Data Suggest
Sep 16, 2011
Financial planning activities are playing a growing role in the service offerings of registered investment advisors. An annual survey of the RIA industry by the Investment Adviser Association and National Regulatory Services shows that 41.4...
Investment Managers: Volatility Is Not a Dirty Word
Sep 15, 2011
Despite the market ups and downs we’ve been experiencing recently, investment managers say this is not the time to get out of the stock market. In fact, the key to stock picking in this environment is to not think of volatility as a bad word...
Schapiro: Republican SEC Reform Bills Could Hog Tie SEC
Sep 15, 2011
SEC Chairman Mary Schapiro said Thursday that legislation introduced by Republicans to restructure the agency and its rulemaking process would threaten the agency’s ability to write and enforce rules effectively. She also said that the SEC...
Wealth Managers Respond to Irene Aftermath
Wealth Managers Respond to Irene Aftermath
Sep 14, 2011
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Financial Advisors: 7 Steps for Replacing Distractions with Goals
Sep 14, 2011
Vancouver—“Man, I got so much going on—all good stuff—but sometimes I’m not certain which way to turn,” Larry mused. Then, with a bit more honesty, he added, “Maybe I’m like most financial advisors and am easily distracted. I guess I need help...
Opinion: FINRA’s Land Grab
Opinion: FINRA’s Land Grab
Sep 14, 2011
For years, stockbrokers have routinely stepped over the regulatory boundary that divides traditional brokerage activities from investment advisory activities. By taking advantage of regulatory loopholes, brokers have been able to offer investment...
Black Diamond Debuts at Advent Connect 2011
Black Diamond Debuts at Advent Connect 2011
Sep 14, 2011
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Caryle Group’s Stake in Avalon Highlights Hot Texas Wealth Management Market
Caryle Group’s Stake in Avalon Highlights Hot Texas Wealth Management Market
Sep 13, 2011
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Long Legislative Fight Kicks Off with House Hearing On SRO, Fiduciary Standard
Sep 13, 2011
It’s impossible to know what the sum of the day’s testimonies, questions and comments will lead to, especially considering that whatever bill emerges would need to also pass a Democrat-controlled Senate. Whatever the outcome, it’...
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