Don’t fall blindly into these 3 conflicts in Reg BI
Revenue-Sharing Conflicts Reg-BI represents a significant change in the SEC’s regulation target. Revenue Sharing is the practice of an investment fund security sharing money back with broker-dealers who sell it...Read More
What SEC Best Interest Proposals Mean for Investment Advisors
In April, the Securities and Exchange Commission issued three proposals concerning the standards of care for investment advisors and broker-dealers. RIAs should review and understand these proposals because they may,...Read More
How to Start (or start over) with Social Media Marketing as a Financial Advisor
Financial advisory clients are increasingly turning to social media to streamline, and even help manage, their investment portfolios. This leaves many advisors out in the cold if they have not...Read More