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RIAS FEB 02, 2011
Focus Financial picks up $575M RIA

Linkup aimed at helping Pettinga Financial cope with 'onslaught' of new regulations

Finra's Ketchum: Fiduciary standard 'very likely'
PRACTICE MANAGEMENT FEB 01, 2011
Finra's Ketchum: Fiduciary standard 'very likely'

The Financial Industry Regulatory Authority's top executive said federal regulators are “very likely” to force U.S. brokers to meet stricter requirements for acting in the best interests of their clients.

FINTECH JAN 30, 2011
It's a bank, it's a broker and it's all at an ATM

Glass-Steagall may have gone the way of the Berlin Wall, but true integration of banking and brokerage has taken a lot longer to achieve than German reunification

PRACTICE MANAGEMENT JAN 30, 2011
A blizzard of publicity opportunities

Have the frigid temperatures and mountains of snow across so much of the country made you a shut-in? Are you itching to escape your home office and meet clients and prospects?

FINTECH JAN 28, 2011
Brian Stimpfl, longtime TD exec, joins indie software company

After a short hiatus, Brian Stimpfl, former longtime TD Ameritrade executive, has landed at Actifi Inc.

FINTECH JAN 23, 2011
Making sense of document storage confusion

Advisers are confused and un-certain about web-based document storage and document vaults

PRACTICE MANAGEMENT JAN 23, 2011
Summit signs Shula

Summit Financial Services Group Inc. has hired Don Shula, 81, the winningest football coach in NFL history, to play on its team.

RIAS JAN 20, 2011
SEC should require fiduciary standard

In the name of investor protection, we urge the Securities and Exchange Commission to exercise its rulemaking authority to require brokers to act in their clients' undivided best interests at all times. We are also reiterating our call for the SEC to recommend to Congress that the jurisdiction of the Financial Industry

RIAS JAN 19, 2011
INTV: Advisers and B-Ds rattled by private placements

Private placements require a higher level of scrutiny than listed securities, so advisers need to know who is doing the auditing and whether independent due diligence is being conducted. <i>InvestmentNews</i> News Editor Bruce Kelly explores some of the risks and issues engulfing the industry.

Custodians taking closer look at adviser compliance
RIAS JAN 19, 2011
Custodians taking closer look at adviser compliance

Custodial firms have been raising the compliance bar for registered investment advisers, in some cases making it tougher for them to find a home.

RIAS JAN 18, 2011
GAO report could be first step toward regulating financial planners

In a Washington where Republicans are ascendant &#8212; taking over the House and increasing their Senate numbers to a level that ensures filibuster success &#8212; the term &#8220;regulation&#8221; is unpopular.

Twitter, Facebook rules leave reps with little to say
FINTECH JAN 17, 2011
Twitter, Facebook rules leave reps with little to say

Social media sites such as LinkedIn and Twitter are redefining the way businesses reach their customers. Securities firms, however, are largely absent from the revolution.

FINTECH JAN 17, 2011
Thinking of picking up an iPad? Here's a few things to consider

Because of the near-mania over the Apple iPad, I've been bombarded of late by advisers who want to incorporate the device into their practices but aren't really sure what it can do for them.

PRACTICE MANAGEMENT JAN 16, 2011
Bring your practice into focus

RETIREMENT PLANNING JAN 16, 2011
Help in getting a handle on medical expenses

FINTECH JAN 14, 2011
Fiserv gives APL managed-account platform a new look with OneView

RIAS JAN 13, 2011
Advisers preparing for threshold switch: NASAA

Like many aspects of the financial-regulatory-reform legislation that became law July 21, the provision that increases the threshold for state regulation of investment advisers doesn't go into effect for another year.

States may collaborate on adviser examinations
PRACTICE MANAGEMENT JAN 13, 2011
States may collaborate on adviser examinations

State securities regulators are meeting next week to begin planning for the examinations of more than 3,000 investment advisers expected to come under their jurisdiction next year.

PRACTICE MANAGEMENT JAN 12, 2011
New planning designation focuses on gay couples

The College for Financial Planning is offering a new designation &#8212; accredited domestic partnership adviser &#8212; for planners who work with gay, lesbian, bisexual and transgender couples.

RIAS JAN 11, 2011
MSSB provides advisers with internal social network