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FINTECH SEP 16, 2013
Turning 'friends' into clients

Real-life stories of advisers and their social-media strategies

PRACTICE MANAGEMENT SEP 16, 2013
Investors want advisers with complete view of finances

CFP Board survey finds credentials are important when choosing an adviser.

PRACTICE MANAGEMENT SEP 16, 2013
Tiny advisory firm faces big challenge managing Powerball winnings

The odds of winning the Powerball lottery? 175 million to one. The odds of a Powerball winner tapping your firm to handle the enormous haul? Astronomical — but it happened this week to tiny Madden Advisory.

PRACTICE MANAGEMENT SEP 16, 2013
Why advisers don't talk about clients' careers — but should

Job a pivotal element when calculating financial plan, professor claims: are you a stock or a bond?

PRACTICE MANAGEMENT SEP 15, 2013
Regulators: Don't get lost in the soup

NASAA, SEC issue note about titles used by financial advisers amid confusion.

PRACTICE MANAGEMENT SEP 15, 2013
Best time to retire is 59, expert says

Grau: Early, internal succession planning results in biggest payout.

PRACTICE MANAGEMENT SEP 15, 2013
CFP Board will have last word on 'fee-only'

'Healthy discussion' with CFP Board, FPA and NAPFA leads to list of questions and answers.

FINTECH SEP 13, 2013
Tech firms strike partnership with universities to bolster financial planning

FAStech formalizes ad hoc network of platforms to give students entree into tech world.

EQUITIES SEP 13, 2013
Nasdaq to pay $10 million to settle SEC Facebook case

IPO debacle of social media darling led to losses of almost $500 million.

EQUITIES SEP 13, 2013
Citigroup fined over alleged Facebook leak

Massachusetts' regulator claims junior analyst sent info to friend about much-anticipated IPO.

FINTECH SEP 12, 2013
Why training is critical for successful tech upgrades

It sounds like a no-brainer, but when advisers invest in technology, training often gets overlooked or minimized.

PRACTICE MANAGEMENT SEP 12, 2013
Groups try to define a fee-only adviser

Recent CFP Board disciplinary actions bring attention to different definitions.

PRACTICE MANAGEMENT SEP 12, 2013
Retirement no buzz word for young, middle-aged investors

Opportunity for mass market financial planning shops that charge a fee.

FINTECH SEP 11, 2013
Advisers' websites not mobile-friendly

Clients leading advisers in technology use.

FINTECH SEP 11, 2013
Quantopian launches trading platform pilot program

BROKER DEALERS SEP 11, 2013
Adviser numbers will continue to slide: Cerulli

Financial adviser and IBD headcounts continue to shrink as training can't catch up with the drain of talent. But how's the rest of the business faring?

FINTECH SEP 10, 2013
Advisers: Time to adopt 'no-brainer' technology

Too many advisers are still mailing quarterly reports. Why?

BROKER DEALERS SEP 10, 2013
Agenda item

Changes are expected as Finra considers its controversial broker-comp rule this week. Industry watchers say wirehouses are largely backing a recruiting incentive regulation but IBDs oppose it.

PRACTICE MANAGEMENT SEP 10, 2013
TD bets on wealthy U.S. clients to drive parent company profits

Toronto-Dominion Bank is ramping up its U.S. asset management business while doubling the number of advisers for wealthy American clients in an bid to accelerate profit.

PRACTICE MANAGEMENT SEP 10, 2013
Peeking inside adviser M&A