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Topic: The Practice



Technology


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Regulatory/legal issues


  • September 19, 2018
    Explainer: What Is Regulation Best Interest?
    Earlier this year, the Securities and Exchange Commission proposed a new rule called Regulation Best Interest, which aims to ensure that brokers put their clients’ interests above their own. But the SEC’s 400-page proposal does not define “best interest,” leading to industry questions. This is the latest video in Ignites' Explainer series, which offers primers on oft-used but rarely explained terms, concepts and trends.
     Transcript   Video [ 3:45 ]  
    Last Comment: September 19, 2018
    1 Comment
  • September 19, 2018
    Move Your Practice to Hawaii ... Or Africa! And Still Keep Your Clients Close
    Moving offices can be challenging for client-advisor relationships, but experts say FAs can bridge the gap by effectively using technology and establishing a virtual office.
    Last Comment: September 19, 2018
    2 Comments
  • September 19, 2018
    Ex-Advisor Fined Over Lying to Investors
    Thomas Caufield allegedly fraudulently raised more than $6 million in a Ponzi-like scheme.
    No Comments
  • September 19, 2018
    SEC Chair More Likely to Move His Agenda with New Commissioner
    The confirmation of Elad Roisman will help SEC Chair Jay Clayton on deregulatory issues and cryptocurrency focus, experts say.
    No Comments
  • September 19, 2018
    Ex-UBS FA Sues to Vacate Finra Award
    Michael Miller says Finra arbitrators violated the self-regulator’s procedures by failing to disclose information.
    No Comments

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