Articles tagged "FINRA"
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Why it's not OK that NAPFA and FPA agree with FSI about relaxed accountability for holders of IRAs
There is no 'suitability' America and 'fiduciary' America
April 2, 2012 at 3:59 AM
Lost in limbo: How and why compliance officers can seem to thwart RIA marketing efforts
CCOs have valid reasons for poring over the content of any proposed articles coming from their firm -- but they owe you a quick response
February 22, 2012 at 3:52 AM
How exactly RIAs can leverage the new transparency as a marketing tool
Fee-only advisors will reap the benefits of fuller disclosure and here are some ways to highlight your competitive advantage
February 17, 2012 at 4:28 PM
SEC sends sharp warning to advisors using social media
RIAs have to make sure they don't get 'liked' on popular websites like Facebook
January 6, 2012 at 3:20 PM
Nine threats to the RIA business and how they can be avoided
The fragmented 13,000-firm army is poised for great things but too much focus on expediency could bring its own problems
November 14, 2011 at 5:24 AM
Brian Hamburger answers the questions about an SRO future that has RIA stomachs in turmoil
The MarketCounsel Summit undercurrent revolves around FINRA fears, so Dina Hampton put the compliance expert on the spot about how the scenario could unfold
October 14, 2011 at 5:01 AM
RIA loses $10 million case against Raymond James the old-fashioned way
The case may have turned on the validity of written versus oral agreements
August 18, 2011 at 4:36 AM
Top 10 tips for the 'social' financial professional when creating your LinkedIn profile
A search will often produce a professional's LinkedIn profile before his or her website.
August 12, 2011 at 5:11 AM
Why compliance experts are apt to dislike Facebook
When does a click constitute an endorsement?
May 13, 2011 at 1:08 PM
Under fire, BrightScope says it will allow advisors to update simple information for free
Company slams SEC as obstructionist
May 5, 2011 at 2:52 PM
Eavesdropping on the IAA: JP Morgan exec challenges advisors on FINRA
SRO remains overarching concern; many advisors haven't finished their ADVs; anxiety rises about 'the switch'
March 11, 2011 at 3:26 PM
Tom Bradley makes the case for regulatory efficiency -- and maybe, FINRA, especially for the dually registered
TD Ameritrade's chief says it's too soon to reject any idea out-of-hand.
February 11, 2011 at 1:40 PM
Rick Ketchum reveals plan for advisor oversight at FSI conference
FINRA CEO promises light touch on rules, lays out political strategy
February 1, 2011 at 5:45 AM
The RIABiz list of winners and losers in the wake of the SEC's fiduciary study
The race is on as laggards adapt to new vision of the future
January 28, 2011 at 1:17 PM
Six things to know about this week's big DC news
RIAs have the winning business model, but also more competition
