Chicago: “I’ve been trying to develop a relationship with this particular CPA for a while, but I wasn’t sure if I was getting anywhere,” explained Harold. Then, with a big smile, he added, “I remembered something you said about tax time, so I put...
Securities America will face a federal court judge Friday to decide whether the independent broker/dealer gets preliminary approval for a $21 million settlement agreement related to allegedly fraudulent private placements sold by the company. Firm...
Lessons learned from the financial crisis of 2008 and 2009 are serving wealth managers well as they—and their clients—confront a cascade of unsettling economic news from the Mideast and Japan.
With Registered Rep.'s Independent Broker/Dealer Report Card, you get a chance to score your own firm — anonymously. In an upcoming issue, we will provide our readers with hard numbers that compare various independent broker/dealers, to see...
Reps are turning to index universal life insurance to bridge the risk gap between low-rate permanent life insurance and riskier variable universal life. With variable universal life policies, the cash value is invested, typically in mutual funds.
FINRA deemed that an advisor’s tweets about a public company were unbalanced and lacked the necessary disclosure about the “substantial positions” held in the stock by the advisor and her family.
The one constant about change is that people hate it. Trouble is, if your employees don’t embrace whatever change it is you want to introduce, you can forget about it: You won’t succeed.
MetLife has launched a new educational campaign for advisors who want to target affluent women, due to renewed interest in this market, the insurer said. AXA Equitable and John Hancock Funds have also recently added resources for financial...
Long-term care expenses pose one of the greatest risks your clients will face in retirement. And unless your clients are wealthy enough to self-insure against that risk, long-term care insurance (LTCI) is the best way to mitigate it. Trouble is...
In testimony before Congress Thursday, SEC Chairman Mary Schapiro made a case for an increase in the agency’s funding to $1.407 billion for 2012—describing the progress the SEC has made on internal reforms since she took the job two...
