In this section we present key findings and insights from our survey questions on practice management and operations, including services offered, the most time-consuming activities, professional designations, custody relationships and documentation trends.
We're pleased to announce that Registered Rep. is launching its very own Tweetup called Coffee Break under the hash tag: #regreptalks. Tweetups (also called Twitter chats) are online meetings, with virtual attendees gathering under the same hash...
Compliance conundrums are growing in the minds of financial advisors mulling independence. An Aite Group survey last spring found that 53 percent saw compliance as extremely challenging or very challenging to independence, compared to just 38...
Despite an opportunity to buy stocks on the cheap, retail investors still have a risk-adverse bias, according to recent fund flows. Year-to-date through July, investors have yanked $17.8 billion from equity mutual funds, with outflows of about $31...
In November 2009, Dr. Donald Steinberg filed an arbitration claim with the Financial Industry Regulatory Authority alleging a whole host of sins against Morgan Stanley Smith Barney, Citigroup Global Markets Inc. and a broker. Foremost among...
As the baby boomer generation ages, the number of people with Alzheimer’s will climb: an estimated 16 million are expected to suffer from the disease by 2050, up from 5.4 million today, according to the Alzheimer’s Association. One...
Another round in the highly politicized battle over who will oversee investment advisers is brewing. The House of Representatives plans to hold a hearing on Sept. 13 on provisions of Dodd-Frank that govern the regulation of broker/dealers and inv...
