The Practice: Marketing
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September 12, 2016Raymond James Fined $600,000 over Wrap FeesSEC also hits Robert W. Baird & Co. in wraps probe.No Comments
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September 7, 2016Show Us Your Social-Media Addresses, Says SECMarketing consistency across all channels will become more important for compliance.No Comments
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September 6, 2016SEC to Target More F-Squared PeddlersNew investigations highlight need for advisors to maintain diligence.Last Comment: September 6, 2016
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September 2, 2016Law Easing RIA Advertising Restrictions Faces VetoBill could pass within days but Democrats say it strips regulators’ powers.Last Comment: September 2, 2016
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September 1, 2016401(k) Advisors Lack Critical Tech UnderstandingWhile most RIAs are increasingly tech-savvy, a new report suggests some FAs are lagging behind.No Comments
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August 31, 2016TD Ameritrade: Advisor Overhead Jumps 31%Successful firms focus on operation efficiency to keep costs low and grow revenue.No Comments
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August 30, 2016RIA Execs Ready to Take on BrokeragesDOL rule has given new impetus to RIA growth.No Comments
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August 29, 2016SEC Tightens Advisor Reporting RequirementsRIAs will have to maintain more records on borrowing, derivative use, social media and advertising.Last Comment: August 29, 2016
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August 26, 2016SEC Hits 13 Advice Firms for Repeating False ClaimsFirms must pay $100,000-$500,000 for recommending F-Squared ETF strategy without verifying claims.Last Comment: August 26, 2016
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August 25, 2016Expunge Your Frivolous Disputes Before It’s Too LateRegulators could make it more difficult for advisors to expunge their records.No Comments
