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  • June 25, 2013
    Do You Foresee Fallout From More Dispute Disclosure?

    The SEC has authorized Finra to publicize actions against brokers more widely and disclose more information about disciplinary measures, including monetary sanctions under $10,000. How will the new policy affect the advisory industry?

    No Comments
  • June 18, 2013
    Are All Our Practices More or Less the Same?

    It can feel as if the industry contains deep divides between the various business models. Do you feel you can learn from advisors whose practices differ markedly from yours?

    No Comments
  • June 11, 2013
    Can Advisors Use Social Media to Recommend Stocks?

    Regulators say the rules governing how advisors communicate to the public through printed materials and websites extend to social media. But confusion remains. Last week, for instance, two advisors with extensive Twitter followings had a testy exchange about making stock tips in social media. Where do you stand?

    Last Comment: June 11, 2013
    1 Comment
  • June 4, 2013
    Do Wirehouses Punish Breakaway Brokers?

    Last month Morgan Stanley began legal action against several "breakaway" brokers in Idaho. Are Wall Street firms sometimes vindictive when it comes to advisors who jump ship?

    No Comments
  • May 28, 2013
    Are You a Futurist Advisor?

    Market gurus love to talk about what the global economy will look like in 10 or 15 years — especially where the winners and losers will be. Does your own vision of the future influence the investment advice you give your clients?

    Last Comment: May 28, 2013
    1 Comment
  • May 21, 2013
    Should Advisors Be Worried About Bloomberg Black?

    Bloomberg is trialing an online wealth management service for affluent investors. For $100 a month, members can track their accounts, research new investment ideas and get advice from one of nine staff advisors. Does Bloomberg Black represent a threat to the industry?

    No Comments
  • May 14, 2013
    What Are You Telling Clients About the Stock Market?

    The S&P 500 is up nearly 15% year to date and just hit a new high. Can this continue?

    No Comments
  • May 7, 2013
    How Will You Ensure a Smooth Transition for Clients When You Retire?

    With most advisors well into middle age, succession planning is getting more important.

    No Comments
  • April 30, 2013
    What's the Scariest Thing About the Twitter Hack?

    The market dropped 150 points last week in the moments after a hacker falsely claimed on the AP’s Twitter account that the president had been injured in an attack on the White House. What’s the most disturbing issue here?

    No Comments
  • April 23, 2013
    What's the Most Effective Way to Get Referrals?

    If prospecting for new clients isn't efficient, it will eat up too much time. Tell us what you've found to be the most productive approach.

    No Comments
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