Obviously, compliance officers are very concerned about the use of social media, particularly by registered representatives.
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.
I thought the article “No profit in talking politics with clients” (Aug. 29) was spot-on.
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.
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.
The Dodd-Frank financial-reform law has created the potential for great uncertainty in the investment advisory and financial planning business.
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.
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.
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.
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.
