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OPINION AUG 05, 2014
Getting the most out of social media

ALTERNATIVES AUG 05, 2014
Who's Finra protecting, anyway?

PRACTICE MANAGEMENT AUG 05, 2014
Finra combs arbitrator list for bad apples

The regulator has completed reviews of all 6,300 arbitrators as arbitrator bias is “one of the hottest topics” this year

PRACTICE MANAGEMENT AUG 05, 2014
Tips for finding the dirt during due diligence on funds, managers

Documents, documents and documents – and face time ndash; win a client's confidence.

PRACTICE MANAGEMENT AUG 05, 2014
SEC approves Finra rule limiting expungement

Regulator signs off on a rule that stops brokers from including expungement as a term in settlements in customer arbitrations

ALTERNATIVES AUG 05, 2014
Popular liquid alts funds face regulatory scrutiny

It could be a long summer for the fastest-growing segment of the mutual fund business as regulators zero in on both the marketing of the funds and the investment strategies they employ.

FINTECH AUG 03, 2014
Ready to engage robo-shields. Make it so.

Report recommends advisers reconsider fees and boost client experience in battle with robo-advisers.

FINTECH AUG 03, 2014
Change for technology's sake and cash in the dividends

The road can be difficult and rocky, but that's no reason to avoid leveraging technology to help your firm grow.

FINTECH AUG 03, 2014
LinkedIn launches sales tool but will advisers want to pay for it?

New Sales Navigator is touted as a data-driven product for social selling.

FINTECH AUG 03, 2014
Wells Fargo Advisors names mobile and online chief

American Express and J.P. Morgan Asset Management vet McConnell tapped to lead new position at WFA Digital.

PRACTICE MANAGEMENT AUG 01, 2014
Inherited books of business come with a catch

Firms use succession agreements to keep brokers from taking their assets with them when they jump ship.

EQUITIES AUG 01, 2014
Buckling in for market volatility

<i>Breakfast with Benjamin:</i> Market volatility headed your way. Plus: Hidden ETF risks, Buffett hoards cash, SEC whistleblowers come out of the woodwork, the upside of passive real estate investing, and how Millennials blow through their money.

PRACTICE MANAGEMENT AUG 01, 2014
Summer's slow-down is disappearing

Want to rescue your vacation? Begin by lowering your expectations.

FINTECH AUG 01, 2014
How technology is transforming financial advice: Schwab's Hathi

Mobile lifestyles, evolving models and new competition for the delivery of advice are driving big changes in the RIA business.

FINTECH AUG 01, 2014
Schwab preps robo offering

CEO Walt Bettinger says his firm is working on a &#8220;groundbreaking&#8221; online advice platform, though details and a timeframe remain unclear.

PRACTICE MANAGEMENT AUG 01, 2014
CFP and ChFC in different leagues, CFP Board says

War of words continues as American College and CFP Board aim to attract designees.

PRACTICE MANAGEMENT JUL 31, 2014
Middle-wage employment moves U.S. economy

Finally, a small surge of hiring in these two sectors might begin to balance the wage scale.

PRACTICE MANAGEMENT JUL 31, 2014
Global Expansions: Team's reconnaissance in Ecuador led to chocolate supply

'It's not like you can Google' cacao bean suppliers, says Mindo's owner.

PRACTICE MANAGEMENT JUL 31, 2014
Global Expansions: An industrial coverings firm finds a way into Mexico

The breakthrough came after an Industry contact gave the company key insights into the supply chain.

OPINION JUL 30, 2014
How to create a culture of success at your firm

Successful firms intentionally cultivate a culture that provides support and opportunities for their employees to thrive, their businesses to grow, and for their clients to become advocates.