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March 15, 2019
Broker-Dealers Rebuked for “Web of Toxic Incentives” in Congressional Hearing on Reg BI
Witnesses say SEC's Regulation Best Interest isn't enough to fix the perceived problem — in fact, investors would be better off without it.
Morgan Stanley Loses Another Florida Team to This Aggressively-Recruiting Rival
The duo previously oversaw around $240 million.
Bernie Madoff-Type Fraudsters May Find it Harder to Hide if This Law Passes
Proposed bipartisan bill would give watchdog 10 years to recoup fraud-related compensation.
Discover the Value of Volatility
How investors react to market volatility may not always be in their best interest. Financial advisors can help them make the right decisions.
JPMorgan Loses Exec to Key Competitor
The exec, who headed a New York branch for JPMorgan, has joined First Republic Private Wealth Management.
Wedbush Settles with SEC for $250,000 Over Supervisory Failures
The firm has also named a new head of wealth management.
SEC Probes RIA Custody of Digital Assets
The regulator wants to hear about issues related to trading practices that aren’t processed or settled on a delivery versus payment — non-DVP — basis.
|The Client - Finding and winning new clients||The Client - Client retention|
|The Client - ERISA plans/institutional management||The Client - Behavioral finance|