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YOUR PRACTICE FINTECH SEP 28, 2010
Social Media: Reps, advisers experiment despite compliance concerns

Obviously, compliance officers are very concerned about the use of social media, particularly by registered representatives.

YOUR PRACTICE PRACTICE MANAGEMENT SEP 26, 2010
For advisers, talking politics with clients makes little sense

I thought the article “No profit in talking politics with clients” (Aug. 29) was spot-on.

YOUR PRACTICE FINTECH SEP 26, 2010
Storm is brewing for cloud-computing stocks

Investors are all abuzz over cloud computing, which allows individuals to access services and applications via the Internet without maintaining their own servers and software.

NEWS INDUSTRY NEWS SEP 15, 2010
A salute to the CLA finalists

Many of us rarely step out of our rigid routines to reach out to others. As much as we want to volunteer our time, donate money or lend a helping hand, we often seem consumed by work, taking care of our families and getting through our daily lives.

NEWS OPINION SEP 14, 2010
Knee-jerk reaction to market's free fall should be avoided

The Securities and Exchange Commission and the various stock exchanges must resist the temptation to react impulsively to the market meltdown that occurred May 6.

NEWS REGULATION AND LEGISLATION SEP 13, 2010
Dodd-Frank's unintended consequence

The Dodd-Frank financial-reform law has created the potential for great uncertainty in the investment advisory and financial planning business.

NEWS RIAS SEP 05, 2010
Editorial: Time to rethink assumptions about returns

The prolonged economic crisis, weak equity markets and rock-bottom fixed-income returns should cause all who advise individuals on investing to reconsider the assumptions on which much of their advice is based.

INVESTING MUTUAL FUNDS SEP 03, 2010
A suggestion to the SEC on 12(b)-1 fees

The goal of the Securities and Exchange Commission is to protect investors, but would the new 12(b)-1 fee proposal really accomplish that objective? Probably not.

NEWS RIAS SEP 02, 2010
Editorial: So much for 'Home Sweet Home'

For the forseeable future there will be no easy way to build a retirement nest egg, meaning investment advisers and their clients will have to work harder and use a wider range of tools to accomplish the task.

NEWS RIAS SEP 02, 2010
Credit rating reform efforts moving in right direction

Congressional attempts to eradicate conflicts of interest from the Wall Street credit agencies' business model are headed in the right direction, to the benefit of all investors.