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NEWS BROKER DEALERS OCT 20, 2015
Reining in expungements

Move to restrict broker expungement should improve confidence that the arbitration system is fair to investors.

YOUR PRACTICE FINTECH OCT 18, 2015
Building traffic to BrokerCheck

The question for Finra: How deep is their resolve to make BrokerCheck as popular as services like Yelp, TripAdvisor or Angie's List?

YOUR PRACTICE PRACTICE MANAGEMENT OCT 11, 2015
Mary Jo White has earned a B- as SEC chairwoman

Heading a huge, highly visible agency in the wake of a financial crisis results in ups and downs for Mary Jo White.

NEWS OPINION OCT 11, 2015
No government shutdown — for now

Bad news is that lawmakers once again opted for a short-term stopgap and avoided tackling the tougher issues

NEWS BROKER DEALERS OCT 04, 2015
Model fee disclosure misses mark

Regulators need to forget the soft stuff and tackle matters of consequence.

YOUR PRACTICE PRACTICE MANAGEMENT SEP 27, 2015
Increase SEC exams of RIAs

Regulatory exams should be just as frequent for advisers as they are for brokers.

NEWS OPINION SEP 13, 2015
Look before you leap. A cliché, but...

Two disparate pieces of recent news highlight the risks of knee-jerk reactions

INVESTING MUTUAL FUNDS SEP 06, 2015
Cash in spotlight amid sell-off

Advisers must be prepared to give reasoned answers about moving to cash during market volatility.

RETIREMENT RETIREMENT PLANNING AUG 27, 2015
Retirement plan advisers are preparing for major changes

Experts weigh in with best practices retirement plan advisers should make sure they have in place given pending industry shifts

YOUR PRACTICE PRACTICE MANAGEMENT AUG 23, 2015
As the Labor Department moves closer to a fiduciary standard, rhetoric reaches fever pitch

The department's recently completed four-day marathon of hearings featured the usual suspects trotting out the usual arguments — and self-funded studies — for or against the rule.