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The SEC voted in February to propose changes to the structure of the Form ADV, the disclosure document that all investment advisors must complete. Instead of the current online check-the-box format, investment advisors would be required to create...
One more time: Retail investors your clients are confused about the definition of a financial advisor. That is, they don't understand the difference between a Series 7 registered representative and a Series 65 investment advisor representative...
Is arbitration fair? Do retail investors get a fair shake in arbitration hearings, considering one member of the three-member panel is an industry person? The argument has been ongoing, with the most recent salvo fired off by a new academic study...
The SEC voted today to propose changes to the structure of the Form ADV, the disclosure document that all investment advisers must complete. Instead of the current online check-the-box format, investment advisers would need to create a narrative...
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...
