Regulation and Compliance issues for Wealth Professionals can be challenging to navigate especially when the SEC is involved. Catch the latest news and analysis on compliance updates that impact financial advisors.
As financial advisor ratings websites like BrightScope and Advice IQ proliferate, advisors are going to have to get comfortable with having their records a click away from clients and prospects.
“Who pays the price for our unethical behavior? All of our loved ones.” This was the message of Patrick Kuhse, a public speaker and former stockbroker, during the Raymond James Financial Services’ National Conference for Professional Developme...
Our good friend and contributor Josh Brown, a financial advisor who runs theReformedBroker blog says the bucket shops are in full tilt trying to scam ignorant but rich people in Reg D vehicles, promising them that they will hold Facebook share...
Internal Revenue Service grants extension of filing deadline for certain estates to make portability election Notice 2012-21 (Feb. 17, 2012) grants executors of certain estates a six month extension to file a federal estate tax return (Form 706)...