Practice

Newly-minted Securities and Exchange Commission Chairman Mary Jo White is off and running. Somewhat.

The ranking Democrat on the House Financial Services Committee is making another push to charge advisors for SEC examinations.

As a financial advisor to numerous types of clients, including recent retirees, I often think deeply about the issues my clients face in this market environment.

The Bureau described the use of various senior designations as “extremely confusing for consumers,” noting that more than 50 different such designations are currently used to sell a wide variety of financial and insurance products.

"Once it is released it's going to be attacked. It's already being attacked, even though nobody really knows exactly what the rule will be," Ron Rhoades told reporters during a conference call on Thursday.

Outsourcing in wealth management has been gaining continued momentum according to a Celent study.

As advisors – and entrepreneurs – it’s hard to come across a marketing idea we don’t love. Because of this, we all have a tendency to lose the balance between strategic thinking and the little things that need to be done to ensure the big picture vision is properly executed. Ron Carson asks, how can advisors keep the scale balanced in their dynamic role?

WASHINGTON — Rep. Keith Ellison, D-Minn., introduced a bill Wednesday that would establish a tax on the trading of stocks and other financial products.

Financial advisor candidates will need to pay more to take securities licensing exams starting June 1, the North American Securities Administrators Association announced.

The organic expansion plan sets Tiedemann apart in the wealth management space, where many firms recently have opted instead for an acquisition strategy, which brings an instant infusion of assets and revenues.