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.
Despite uncertainty surrounding new regulatory reform, registered investment advisors are reinvesting in their firms, especially in their staff, according to a recent survey conducted by TD Ameritrade Institutional.
Extending the current rate structure for a limited time is not a defeat for either political party; it is reasonable policy given the economic certainty and voters' understandable fury at the long delayed action on this topic. -Liz Miller, CFA ...
Our Broker Report Card Survey has turned 20 years old with the publication of the report online (RegisteredRep.com) on Dec. 1. Twenty years is a long time, which is why we still use the archaic name out of respect for tradition. The 887...
If you're an estate planner, you're probably not an expert in securities laws. But you may have clients who are of publicly held companies or who own restricted securities and these clients may be subject to federal securities laws and have...
Financial advisors have been afraid of using social media for fear of invoking the wrath of their compliance department. They shouldn't be, since use of social media is correlated to higher assets under management
"The Congressional estate tax impasse is a rival to Jarndyce and Jarndyce. "Innumerable children have been born into the cause; innumerable young people have married into it; innumerable old people have died out of it...The little plaintiff or...
Attorneys, compensation experts and recruiters said broker recruiting bonuses would be difficult to regulate, and that if anything, the SEC would most likely require greater disclosure of the practice to clients.
If you believe in the “politicians-are-idiots” theory, you’ll love gridlock. After all, the economy and stocks tend to do better under divided government.