Financial regulatory reform legislation would give the SEC the ability to end the standard industry practice of forcing upon upset investors mandatory arbitration to settle ...
Tightly control your reps’ ability to update their customers’ contact information – especially if they’re about to leave. Otherwise, you might suffer a fate similar ...
A global economy inspires far-flung partnerships but the rules spell out quite forcefully the bounds of behavior, and missteps can be punished severely.Advisers Act rule ...
You won't find any mention of fair allocation in the Advisers Act but the concept has evolved through SEC no-action letters and enforcement cases, and ...
RIAs would not be considered to have custody of client assets simply by having the written authority to transfer client assets among different qualified custodians. ...
Last night the Senate passed historic financial reform legislation by a bipartisan vote of 59–39 (see how your Senators voted). This morning President Obama will ...
There's no evidence that terrorism, hackers, a flagrant "fat finger" or even one massive trade in a single security caused the May 6 Dow nosedive. ...
The calls keep coming into RIA First Western Advisors ($142M in AUM) in Holladay, Utah, from clients who can't seem to discern the difference between ...
New York's attorney general has sifted through firm e-mails dating back more than a decade to build a case alleging RIA Ivy Asset Management ($4.4B ...
As the Senate prepares to vote on an amendment to broaden the fiduciary duty standard to some broker-dealers, last-minute lobbying has drawn the ire of ...