The Practice: Regulatory/legal issues
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May 18, 2017Football Star Says Ameriprise Rep Stole His MoneyCowboy vs. stealer: Dallas back says firm let FA bilk him out of $15 million.No Comments
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May 18, 2017Fidelity Opens Managed Accounts to More AdvisorsThose who don’t custody with the firm can use the custodian as fiduciary.No Comments
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May 17, 2017Finra Seeks Comment on Outside Business RulesOutreach is part of comprehensive review of existing regulations.No Comments
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May 17, 2017CFA Exams to Put More Emphasis on FintechExpect more questions and a separate reading section on technology.No Comments
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May 16, 2017Clayton’s SEC Likely to Roll Back EnforcementBut the industry still can’t afford to ease up on compliance.No Comments
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May 15, 2017FAs Love Trump, Worry About Generating IncomeConcerns about volatility drop-off in an advisor snapshot taken last month.No Comments
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May 15, 2017Advisors Should Embrace the Industry's DisruptorsMajor changes to the industry are likely to come ever faster, but they present opportunities.No Comments
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May 15, 2017Finra Wants to Go Harder on Bad BrokersRegulator to seek comment on measures including heightened disclosure.Last Comment: May 15, 2017
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May 12, 2017Barclays Settles $97 Million in Overcharge AllegationsCase concerns Stifel Financial, the bank’s former U.S. wealth-management business.No Comments
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May 12, 2017Merrill Backtracks on Its IRA-Commission BanWirehouse will offer a limited brokerage IRA for certain products.Last Comment: May 12, 2017
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