On Wednesday, the SEC proposed open-ended rules aimed at reigning in incentive comp. The rules, which stem from Section 956 of the Dodd-Frank Act, would prohibit incentive-based compensation arrangements that encourage “inappropriate”...

The personal touch is still the most effective way for wealth managers to grow their business, but the use of social media is gaining fast, according to a new study by Advisors Trusted Advisor, a Medfield, Mass.-based practice management...

On Dec. 17, 2010, President Obama signed into law the Tax Relief, Unemployment Insurance Reauthorization and Job Creation Act of 2010 (the Act). The Act significantly impacts the estate planning that advisors will recommend to their clients, as...

For those of us in the business of providing client services, success is heavily dependent on our ability to offer the most comprehensive, cutting-edge information available. No matter how good we may be individually, we can always be better by...

When The Cat's Away, Mice Will Play TD Ameritrade settled with the Securities and Exchange Commission over an investigation into its supervision of reps who sold shares of the Reserve Yield Plus Fund. TDA agreed to pay $0.012 per share, or $10...