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Business - purposeful activity. Plan - a method for achieving an end. Webster's New Collegiate Dictionary In the early months of a new year, I have always found it helpful to take a quick reassessment of one's current business plan to use NASCAR...
With 77 million baby boomers approaching retirement, advisors are surely looking for ways to win their business. One way? Financial gerontology. That's according to a recent survey by Rydex AdvisorBenchmarking, whose study specifically addresses...
Acting as Rocky Mountain Securities & Investments Inc.'s (RMSI) President, Director, Registered Financial and Operations Principal (FINOP), and Compliance Officer, Stephen J. Horning was a jack-of-all-trades unfortunately, he appeared not to be a...
What to do with the securities industry's Depression-era regulations that have investors confused over the difference between a registered investment advisor and a registered rep? After more than a year of collecting and analyzing data, the much...
Too Much Volume: The Financial Industry Regulatory Authority (FINRA) fined 19 broker/dealers in January a total of $2.8 million for substantially overstating their advertised trade volume to three private service providers. These service providers...
I was watching a TV documentary recently about a middle-aged man who was preparing to swim the English Channel. A reporter asked him why he had chosen to undertake this particular challenge especially since the man, a popular TV comedian, was not...
Depending upon who you listen to, we are either in a recession, or one is gathering on the horizon. (The Fed's Beige Book says no recession just slower growth.) Either way, it takes a brave investor to start taking stakes in high-yield bond funds...
Apparently, some people still think it’s far too easy for brokers to wipe their records clean, particularly where customer dispute information is concerned. A story on SmartMoney