Carl Ayers
You now have until March 25 to comment to the Financial Stability Oversight Council about its process to name nonbank entities as systemically important financial ...
Four years after the Certified Financial Planner Board of Standards obtained an SEC “no-action” letter (IA Watch, March 21, 2011) permitting investment advisers and broker-dealers ...
Here are 10 steps, running from footprint to clean up, from a cybersecurity consulting firm used by an IA firm. These steps progress in intensity. ...
Tampa-based Cummings Financial Organization launched its social-networking program in 2012 as part of a pilot engineered by its broker, Transamerica Financial Advisors. Its philosophy – ...
Reps should consider this three-stage plan to establish a written trail to demonstrate they’ve achieved suitability for the client: Reason for the meeting (Quarterly update? ...
This proposed rule from the SEC in 2015 would require a registered clearing agency to report to a registered swap data repository any security-based swap ...
Now that OCIE has released its 2015 exam priorities, we checked with some of your peers who have been through recent exams to ask them ...
A significant percentage of the nation’s advisory firms call New England home. One snowstorm after another has battered the region lately. A total of ...