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The Best of 2014
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2014 was the year of the robo-advisor and retirement security, according to Lauren Foster on the CFA Institute's Enterprising Investor blog. Foster said that looking forward to 2015, two broad th...
The Certified Financial Planner Board of Standards announced two changes to its certification process on Tuesday that will make it easier for more people to take the CFP exam.  ...
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A poll conducted by the Wall Street Journal’s Risk and Compliance Bureau found that Securities and Exchange Commission Chair Mary Jo White was the most feared regulator of 2014, just beating out Benjamin L...
Brokers have long been able to continue selling insurance after being barred or suspended from the securities industry—at least until insurance regulators got wind of it. But it looks as though they may get wind of it even sooner. The Financial I...
Nicholas Schorsch, who has built up one of the largest independent broker/dealer networks over the past year and a half, has stepped down from his role as executive chairman of RCS Capital (RCAP). Mark Auerbach, RCAP’s lead independent...
Corralling clients to do what you want - and what's in their best interest - is easier said than done. That's why financial advisors need to act as behavioral coaches with investors to get them through some of those tough times. Vanguard Investme...