The SEC is actively reviewing advisers' ADV forms. What's the commission looking for? Tarted up claims, including inflated education or professional credentials.
The SEC says it is targeting senior management in its reviews of brokerages and advisory firms.
Acquisition creates firm with 400 independent-contractor reps, dual headquarters.
Stock prices do not reflect real possibility of automatic tax hikes, spending cuts
Company's relationship management boss sees big opportunity for minnows
SRO legislation on top of the list but little action expected until '13
Deal to help expand firm's managed account offerings as traditional commission biz stays soft
