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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...
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...