From 2008 to 2013, Merrill hid that the fact that client requests to buy and sell stock were being handled by proprietary trading firms and other outside entities, the Securities and Exchange Commission said Tuesday.
Partnership Resource Co-founder Tanya Rapacz walks Michael Kitces through the ups and downs of a successful partnership, as well as how to write a ”Partnership Constitution“ that formally spells out for all partners how decisions will be made...
Is it possible to find support, synergy and community in the independent space?
If your clients need to visit a physical office to open a new account, you’re going to get left behind.
FINRA is overhauling its registration and disclosure programs, advisors aren’t worried about market volatility and how to talk to clients about betting on the World Cup.
"Cursed" is how one commentator described the early drafts of the commission's proposed disclosure forms, a key component of the new best interest standard for brokers
The SEC’s best interest proposal fails to consider the foundations upon which investment recommendations are made—conflict-free securities research.
Your website plays a huge role in a prospect’s first impression of you and your firm.
