Throughout the past couple of months the governing bodies (read: FINRA) have put forth a mild attempt to extract themselves from the 90’s and catch up to the rest of the business world in the area of social media. While LinkedIn has remained...

Will FINRA’s proposed rule requiring firms to link to their publicly available BrokerCheck records increase investor awareness? The Financial Services Institute remains unconvinced, contending the regulator needs to perform a cost-benefit...

Social media does not get the attention it deserves by advisors, said Tina Powell, director of business management at Beacon Wealth Management in Hackensack, N.J. You wouldn’t shut down your website if traffic was down, “So I mean I...

The Wharton School's Jonah Berger shares how to get clients to talk about you offline

The bank is attempting to be all things to all people, but is Wells Fargo the jack of all trades, master of none?

Advisor advocates are on the offensive after SEC Commissioner Dan Gallagher’s said the commission should look at the possibility of an SRO (self regulatory organization) to provide oversight of RIAs...