Apple's ubiquitous device enables sales force to ditch smart phones, laptops
Company set to launch Veo mobile app for popular electronic tablet
It took a long time, but Kevin Carreno has been vindicated
The 200 to 300 financial advisers and trainees given their walking papers at Morgan Stanley Smith Barney LLC this quarter probably won't have much trouble finding new jobs, according to industry recruiters.
Rising legal costs, tougher regulation and strained capital resources are making broker-dealers more vulnerable than ever
CFO's resignation comes just months after departure of company's CEO
SWS Group Inc. said Thursday its chief executive of eight years has resigned to pursue other interests; board member steps in on interim basis
Wholesalers for J.P. Morgan Funds won't be able to complain about a bad back from hauling around a briefcase full of printed fund brochures and documents
View from down in the trenches downright gloomy, survey finds
Going independent has never been easier, but there are still a host of issues to consider. This first installment of a four-part special report explores the ins-and-outs of starting your own practice.
Seek out advice from others who have gone out on their own
The terms “sales” and “marketing” are used interchangeably, but they aren't the same
Are you a fiduciary? Do you have a fully tested and documented continuity plan? If you answered, “yes,” to the former, you need to answer, “yes,” to the latter
When the owners of an advisory firm turn over everyday operations to a senior-level employee, it is a watershed decision — and it is usually one that most firms avoid as long as they can
Financial adviser training and compliance expenses could spike for broker-dealers of all sizes — and become especially burdensome to smaller firms — if the Labor Department applies its proposed fiduciary rule to individual retirement accounts, observers say.
The Securities and Exchange Commission recently began a "sweep" of investment advisory firms to gather information about their use of social media. (Read: <a href=http://www.investmentnews.com/article/20110214/FREE/110219962>'SEC said to 'sweep' advisory firms'.)</a>
Assets to the RIA channel have more than tripled over the last ten years, a trend that is 'redefining the way investment advice is delivered'
The IRS has just given the green light to Paul — on his 2007 tax return
