The Practice: Regulatory/legal issues
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May 8, 2014Brokerages Are Winning the Fiduciary WarWith its lobbying might, the industry tends to get what it wants.No Comments
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May 5, 2014Rules on Reviews Could Change FA DirectoriesBut will clients use familiar consumer sites or hunt for specialists?No Comments
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May 1, 2014The Menace of High-Frequency TradingThomas Sedoric, Wells Fargo AdvisorsAdvisors should be lobbying Washington, on clients’ behalf, to regulate the practice.No Comments
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May 1, 2014Be a Hero. Update Your ADV FormPrompt action helps RIAs do right by clients and avoid regulatory hassles.No Comments
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April 30, 2014Morgan Stanley, Merrill Among Firms on Watch for DementiaOne executive says the industry needs stronger laws to prevent elder abuse.Last Comment: May 1, 2014
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April 24, 2014RIAs Are Better Off Without Finra OversightJanaya Moscony, SEC3 Compliance ConsultantsThe job properly belongs to the SEC — though it needs more resources.No Comments
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April 22, 2014The SEC May Demand More Trade DisclosureSpelling out transaction details would shed light on “best execution.”No Comments
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April 16, 2014My Move: Credit Suisse to IndependenceAn advisor bides his time until he has full confidence in his support systems.No Comments
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April 16, 2014Should Finra Say How Often You Failed a Licensing Test?One study shows advisors who must retake the Series 63 get into more trouble.Last Comment: April 16, 2014
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April 14, 2014Offshore Accounts Have Plenty of Legal UsesForget tax evasion — clients may need diversification, insurance and more.No Comments
