Articles tagged "NCS"
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Lovell Minnick sinks more capital into TurboTaxifying the RIA compliance market, with roll-up of NCS; but Brian Hamburger and other free-standers see no threat
Like Aquiline with RIA-in-a-Box, the private equity firm says scale and software are key to comply with SEC dictates in the future, but MarketCounsel and Cipperman are betting this ain't like retail tax returns.
January 5, 2019 at 2:07 AM
Betterment explains why its Brexit-sparked trading halt on Friday wasn't 'suspended' trading
The $4.8-billion robo-advisor frames its trading actions in terms of discretionary management of assets but the prerogative it asserts puts RIA clients in a tight spot
June 28, 2016 at 10:43 PM
An advertiser's-eye view of TD Ameritrade's national conference
Firms that rarely advertise had booths, including mega-RIAs, competing custodians and Marty Bicknell
February 3, 2014 at 4:40 AM
RIAs need to take a hard look at their use of soft dollars
Some advisors are landing in hot water with the SEC
November 11, 2011 at 5:14 AM
Why compliance experts are apt to dislike Facebook
When does a click constitute an endorsement?
May 13, 2011 at 1:08 PM
What not to do during a state or SEC audit
The four tempting -- but ultimately counterproductive -- tacts advisors sometimes take
March 8, 2011 at 2:37 PM
Considering hosting a radio show? The SEC may tune in.
Radio programs and commercials pose compliance complications. Disclosure helps.
January 20, 2011 at 2:30 PM
In the duel of FINRA vs. state courts, one comes out on top for most advisors
Rarely seen stats shed light on whether you are more likely to win in arbitration
January 13, 2011 at 2:19 PM
The marketing naughty and nice list
Catchwords and strategies likely to draw regulators' ire -- and others that pass anyone's test
December 23, 2010 at 2:51 PM
Why you should pay attention to proliferating advisor credentials
Les Abromovitz heads to Nebraska to figure out which letters are worthwhile -- and which take little more than a check and a pulse to earn
November 2, 2010 at 6:03 AM
So you're an RIA. Be careful about calling yourself one, says the SEC
Beware of using the term as focal point for marketing; some states may have competing regulations
October 11, 2010 at 4:41 AM
What do advisors care about? The new SEC that emerged in July, for one thing.
Plus, what a Smith Barney breakaway team is finding out about financial plans
