Photo Gallery: Registered Rep.'s 31st Annual Altruism Award Winners
May 13, 2011
Street Legal: Blaming, Naming, and FINRA Gaming
Street Legal: Blaming, Naming, and FINRA Gaming
May 12, 2011
Suppose that an unhappy investor didn't specifically name you in a lawsuit or arbitration when he complained about your investing advice. You'd think that would get you off the regulatory disclosure hook, right? Think again...
Golden Handcuffs Loosen
Golden Handcuffs Loosen
May 12, 2011
Two years ago, over 20,000 advisors switched firms after the market tanked and three of the major Wall Street brokerage firms were swept up into shotgun marriages with other financial giants. Some advisors left Wall Street because they were...
7 Key Attributes of Top Assistants
7 Key Attributes of Top Assistants
May 12, 2011
The increasing importance that the advisor-assistant relationship plays in the loyalty of today's affluent client prompted the Oechsli Institute to conduct a study on advisors and assistants. Among numerous findings, we were able to uncover seven...
Money Market Reform Debate Rages On
May 11, 2011
Regulators and industry participants continue to battle over what kinds of reforms should be made to money market funds. Tuesday, the Securities and Exchange Commission held a roundtable on money market funds and systemic risk in which several...
CPA Panel: Regulators Taking B/D Accounting Data More Seriously
May 11, 2011
The Financial Industry Regulatory Authority and the Securities and Exchange Commission are stepping up their scrutiny of the accounting and audit process of broker/dealers, reviewing financials more closely and requesting data on a more frequent...
Wealth Managers Vying for Trillions From Intergenerational Wealth Transfer
May 11, 2011
A whole lot of money should change hands in the next few years, as inheritances get passed down to the next generation, according to the Institute For Preparing Heirs. The industry buzz word for this: intergenerational wealth transfer. Today...
Despite Long Bull Market, Fund Investors Are Still Cautious
Despite Long Bull Market, Fund Investors Are Still Cautious
May 10, 2011
Advisors don’t appreciate how cautious clients have become, said speakers at the Investment Company Institute’s recent general membership meeting in Washington yesterday. Despite two years of rising markets, clients continue to hold...
Wells Fargo Recruits From Outside the Industry
May 10, 2011
Wells Fargo Advisors’ is looking for recruits in out of the way places. In April, Kent Christian, president of Wells Fargo Advisors’ financial services group, told a Securities Industry and Financial Markets Association conference that...
60 Seconds: Bill Mann
60 Seconds: Bill Mann
May 10, 2011
Portfolio manager at Motley Fool Asset Management, a division of The Motley Fool in Alexandria, Va.
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