That rule is intended to safeguard clients' cash and securities so they can be promptly returned should the broker-dealer fail.
From filling the SEC to renewing bills addressing accredited investor status and elder financial abuse, legislators shouldn't forget past priorities.
Many advisers think E&O is enough, but these policies target the wayward web.
The phishing scheme involves cybercriminals posing as individuals looking for help with tax preparation.
Agency provides a litany of questions for consumers as well as FAQs on technical compliance for advisers. <i><b>(More: <a href=""" target=""_blank"" rel="noopener noreferrer">Want to see additional questions? Check out InvestmentNews' list</a>)</i></b>
The addition reflects regulators' concerns about potential investor risk posed by automated-advice services.
Females in RIA channels especially coming up short
If the next generations don't want to retire, they may develop an opinion that advisers are not for them.
The 2017 <i>InvestmentNews</i> Outlook Survey of 339 advisers reveals what's on advisers' minds as we enter the new year.
From incubator relationship to back-office service provider.
Brokers will be expected to provide two referrals a year to the bank or face a 1% penalty on their payout. <b><i>(More: <a href="//www.investmentnews.com/article/20161011/FREE/161019987/morgan-stanley-sales-contests-among-advisers-didnt-help-clients"" target=""_blank"" rel="noopener noreferrer">Morgan Stanley sales contests among advisers didn't help clients</a>)</b></i>
The chief executive of Ritholtz Wealth Management has benefited from a strong online presence in terms of building his client base, but also in recruiting top talent.
Multiple forces are driving industry consolidation.
Several digital platforms are filling a void left by advisers by offering clients the opportunity to back their values with their investments.
From Black Friday Focus Group to the Goddesses of Financial Planning, it's about sharing ideas.
The deal is the latest example of the finance industry working with technology firms that provide services the old guard can't easily replicate.
Answering specific client questions and not making a pitch result in the greatest engagement.
NextCapital's digital platform to serve 401(k)s and rollovers for the firm.
