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FINTECH APR 13, 2010
First Look: The new Client 360 brings it all together

Central to Commonwealth's updated platform are householding and better tool integration

PRACTICE MANAGEMENT APR 13, 2010
Social media for beginners

Somewhere between the hype and the compliance-driven negativity lies the truth about social networking for financial advisers: the technology offers great potential.

PRACTICE MANAGEMENT APR 12, 2010
Finra cautions about use of consolidated statements

Finra wants member firms to be wary of brokers who produce consolidated statements for clients.

RIAS APR 11, 2010
SEC's new adviser exam plan: 'We simply show up'

Unannounced exams of advisers — based on tips and complaints — are replacing pre-planned visits, says compliance big at securities regulator

PRACTICE MANAGEMENT APR 08, 2010
Ask the Expert: Fire any and all questions at our retirement wiz

Skip Massengill takes all your questions on building a successful retirement service practice.

PRACTICE MANAGEMENT APR 08, 2010
Editor's pick: How advisers can get more press

It's no mystery how to get good media coverage. It all starts with debunking the common misconceptions about the folks on the other side of the notepad.

PRACTICE MANAGEMENT APR 08, 2010
Advisers turning to study groups for support

More than ever, they want advice on hiring, firing and other practice-management issues

PRACTICE MANAGEMENT APR 08, 2010
The right way to fire your clients

Breaking up, as the song goes, is hard to do — even when it comes to adviser-client relationships.

PRACTICE MANAGEMENT APR 08, 2010
A delicate situation: Acquiring practices of the deceased

Is it appropriate to try to acquire the clients of a fellow financial adviser who died without a successor?

PRACTICE MANAGEMENT APR 08, 2010
Advisers' biggest mistakes: Too much delegating

In 2006, the adviser learned the folly of being too far removed from the day-to-day management of his business.

WOMEN ADVISOR COMMUNITY APR 07, 2010
Women sue BofA for alleged bias on bonuses

FINTECH APR 05, 2010
Thomson Reuters begins the drip of iPad apps

Okay, I can't help myself. It is starting already, iPadAppMania (not to be confused with the iPad'o'mania referred to earlier).

PRACTICE MANAGEMENT APR 04, 2010
Study groups bloom as adviser resource

FINTECH APR 01, 2010
The iPad is here, almost

For advisers trying to convince themselves (read that as rationalize) that they can buy the new iPad to replace their laptop — don't bother, you can't.

PRACTICE MANAGEMENT APR 01, 2010
InvestmentNews hires Schwab director for new research group

Kelli Cruz, the director of Business Consulting Services at Schwab Advisors Services, will join Crain Communications — the parent company of InvestmentNews — as the director of a newly created custom research division at the organization.

PRACTICE MANAGEMENT APR 01, 2010
If disclosed, 12(b)-1 fee is legitimate charge for honest service rendered

I don't understand the flap about service fees, and think that Blaine F. Aiken was wrong about many of his assumptions and representations (the Fiduciary Corner column “Let's say goodbye to 12(b)-1 fees,” which appeared in the Jan. 18 issue).

PRACTICE MANAGEMENT APR 01, 2010
Denied: Stanford judge won't grant mistrial in shredding case

A federal judge has refused to grant a mistrial despite signs that a Miami jury is struggling to reach a verdict in the Stanford document shredding case.

PRACTICE MANAGEMENT APR 01, 2010
Merrill Lynch in ARS settlement with Virginia

The Virginia State Corporation Commission says Merrill Lynch is paying nearly $1.37 million to settle allegations that investors were misled about the safety of the auction-rate securities market.

PRACTICE MANAGEMENT APR 01, 2010
Finra slaps Scottrade with $600K fine for 'inadequate' surveillance systems

The Financial Industry Regulatory Authority Inc. today fined Scottrade Inc. $600,000 for failing to have adequate anti-money laundering procedures in place to detect and report suspicious transactions.

PRACTICE MANAGEMENT MAR 31, 2010
Five hot marketing tips for snagging wealthy clients

A sizeable number of financial advisers say they're way out of sync with today's affluent investor. Here's how to get back in touch