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PRACTICE MANAGEMENT MAR 01, 2011
Tax change for S corps, LLPs 'would create havoc'

Treasury boss Timothy Geithner say the department is considering overhauling the current tax set-up. On the radar: reclassifying the status of pass-through businesses — including LLPs and S corps. Yikes.

SEC said to 'sweep' advisory firms for social-media info
FINTECH MAR 01, 2011
SEC said to 'sweep' advisory firms for social-media info

The Securities and Exchange Commission is said to have begun a sweep of registered investment advisers' use of social media and social networking, according to officials at an industry compliance firm.

FINTECH FEB 28, 2011
Use of social media in focus

The SEC and Finra are taking a closer look at how financial advisers use social networking

PRACTICE MANAGEMENT FEB 28, 2011
Ex-Ameriprise manager: I got fired for flagging violations

Loscalso claims he was axed for warning firm about lax oversight of brokers; 'fraud, forgery'

PRACTICE MANAGEMENT FEB 27, 2011
How to create a work flow system

The mere mention of advisory practice work flow — or even thinking about how the work gets done (or doesn't) in an advisory business — is enough to cause many advisers' eyes to glaze over

Most conservative investors? The young and the affluent
RETIREMENT PLANNING FEB 22, 2011
Most conservative investors? The young and the affluent

With two of the most severe bear markets of this century fresh in their short-term memories, affluent investors — particularly the youngest investors — appear to be quite skittish about investing in anything but the safest of asset classes.

RETIREMENT PLANNING FEB 20, 2011
Tax credit could help some firms

A new health insurance tax credit could hit some small financial advisory firms in their sweet spot — but only if they fit a specific profile

FINTECH FEB 20, 2011
Tackling readers' problems with CRM programs

FINTECH FEB 18, 2011
A Schwab exec's big revelation at T3

There has not been a lot of news coming out of this year's Technology Tools for Today conference (it is being held in Weston, Florida this year).

<font color=red>INTV:</font> One B-D's secret for recruiting top-producing advisers
BROKER DEALERS FEB 18, 2011
<font color=red>INTV:</font> One B-D's secret for recruiting top-producing advisers

Among the largest independent broker-dealers, Commonwealth Financial Network has the highest concentration of financial advisers who produce more than $500,000 annually, according to InvestmentNews <a href=http://www.investmentnews.com/section/broker-dealer-data>data. And it's reached the top by getting people out the door: Namely, its advisers.

FINTECH FEB 17, 2011
TechCheck: Fund managers get help for taxing situation

Why Edward Jones could add 2,400 new reps this year
BROKER DEALERS FEB 17, 2011
Why Edward Jones could add 2,400 new reps this year

Brokerage firm Edward Jones this week announced that it plans to add up to 20 branch offices to the more than 60 it has in the state of Utah.

FINTECH FEB 17, 2011
Fidelity rolls out iPhone app for WealthCentral

Mobile application sure to attract attention from users of Apple's ubiquitous smartphone

FINTECH FEB 15, 2011
Tool provides college-planning edge

College planning is one area where financial advisers can really stand out from the crowd

PRACTICE MANAGEMENT FEB 14, 2011
New Finra reporting rule alarms B-Ds

Industry observers are worried that a new Finra reporting rule &#8212; set to go into effect July 1 &#8212; could open up brokerage firms to enforcement actions.

FINTECH FEB 13, 2011
Business as usual on snow days, but at slower pace

Most business came to a halt throughout the Midwest two weeks ago when a massive blizzard forced workers to take a snow day, but financial advisers said they were good to go

PRACTICE MANAGEMENT FEB 13, 2011
Are you a candidate for independence?

Many wirehouse representatives toy with the idea of going independent, but for many of them, there are several good reasons to stay put

FINTECH FEB 13, 2011
A simple SMA analytics tool for financial advisers

Zephyr Associates Inc., probably best known to financial advisers for its StyleAdvisor and AllocationAdvisor products, is now providing a free peek at separately managed accounts performance analytics

RETIREMENT PLANNING FEB 10, 2011
A different approach to high-tech planning

Providing scalable high-tech, high-touch financial advice to the mass affluent has been a goal of adviser entrepreneurs since the days of MS-DOS. While the technology and knowledge certainly exist to make it happen, doing so successfully and profitably thus far has been elusive.

FINTECH FEB 10, 2011
Fund marketers embrace a print link to video