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PRACTICE MANAGEMENT DEC 20, 2009

Warring wirehouses  add fuel to hiring fire
PRACTICE MANAGEMENT DEC 15, 2009
Warring wirehouses add fuel to hiring fire

The broker recruiting wars are heating up, with wirehouses jacking up their offers to new heights to lure more representatives in 2010.

PRACTICE MANAGEMENT DEC 14, 2009
Obama in closed session with Wall Street execs

President Barack Obama is asking bank executives to support his efforts to tighten the financial industry, while bankers are prepared to tell the president he should stop oversimplifying their concerns if he wants good-faith collaboration.

Have yourself a little Merry Christmas
PRACTICE MANAGEMENT DEC 14, 2009
Have yourself a little Merry Christmas

For many financial services firms, planning a holiday party this year is less about raising employees' spirits and more about keeping celebration costs low.

Financial adviser named one of top 10 jobs for women over 40
PRACTICE MANAGEMENT DEC 14, 2009
Financial adviser named one of top 10 jobs for women over 40

It came as no surprise to Cathy Curtis when MORE, a glossy women's magazine, recently ranked financial adviser as one of the 10 best professions for women over the age of 40.

PRACTICE MANAGEMENT DEC 14, 2009
Why advisers should confront conflicts head-on

For years, James Barnash brushed aside conflicts at work, hoping the situation would get better. But instead, it made things worse.

PRACTICE MANAGEMENT DEC 13, 2009
An easy way to keep clients: surveys

Take a moment to think about a store you visit regularly, a family physician from which you never stray or a dentist you always recommend.

FINTECH DEC 11, 2009
New networking site for advisers said to comply with Finra regs

A startup, LinkedFA, is described in a press release as the “first and only Finra-compliant social-networking site for financial professionals.” The site is supposed to be launched sometime in the coming weeks after it has its first 15,000 subscribers.

PRACTICE MANAGEMENT DEC 11, 2009
Plan to place B-D advisers under Finra scrapped

The House today killed a proposal that would have given the Financial Industry Regulatory Authority Inc. the authority to regulate investment advisers at broker-dealers.

LIFE INSURANCE AND ANNUITIES DEC 09, 2009
Controversial accounting change will boost insurers' capital reserves

PRACTICE MANAGEMENT DEC 09, 2009
Morgan Stanley Smith Barney pumps up recruiting packages to lure top producers

Morgan Stanley Smith Barney LLC is entering into the recruiting wars with its guns blazing and is creating a potential pay package for new advisers that will match that of its rival Merrill Lynch & Co Inc.'s Global Wealth Management unit.

PRACTICE MANAGEMENT DEC 08, 2009
Brokerages face 2011 start date for reporting cost-basis info

Regulations proposed last week by the Internal Revenue Service would leave brokerage firms little time to begin reporting cost basis information to customers.

OPINION DEC 08, 2009
Thanksgiving fast approaching, but there's still time to give thanks to clients

Compliance departments on red alert for insider trading
PRACTICE MANAGEMENT DEC 08, 2009
Compliance departments on red alert for insider trading

In the wake of the alleged insider-trading ring involving hedge fund manager Galleon Group, compliance departments at asset management firms and broker-dealers are stepping up their vigilance.

FINTECH DEC 08, 2009
DTCC changes address reporting for cost basis

With modifications to the systems at the Depository Trust and Clearing Corp., reporting of cost basis information is likely to become less of an issue with financial advisers — assuaging concerns that new requirements could make reporting more costly and cumbersome.

PRACTICE MANAGEMENT DEC 08, 2009
How to effectively manage time for client reviews

The focus for most advisers over the next three months will be on executing client reviews and completing the follow-ups. This is the most important service an adviser can perform for clients in today's market, so don't clutter your team's calendars with other activities. When done right, client reviews are an effective business builder.

FINTECH DEC 08, 2009
Deadline to track cost basis reporting looms

Broker-dealers, mutual fund companies and fund custodians are updating systems to comply with the cost basis reporting requirements included in the Emergency Economic Stabilization Act of 2008.

RIAS DEC 07, 2009
Despite lean times, client appreciation events still a must

Although costs are tight for many advisers, these types of client appreciation events remain extremely important — especially following last year's market collapse, which left many clients worried about their financial future.

PRACTICE MANAGEMENT DEC 07, 2009
Feds seize Ferrari from Fla. lawyer accused of $100M fraud scheme

Federal agents are seizing assets from a Florida lawyer suspected of orchestrating a multimillion-dollar fraud scheme.

ALTERNATIVES DEC 07, 2009
Hedge fund charged with running Ponzi scheme

The SEC today charged an unregistered hedge fund with operating a large-scale scheme that it said defrauded hundreds of investors millions of dollars.