Practice

The Securities and Exchange Commission is not pursuing the idea of imposing a three-strikes-and-you're-out system for issuers with disclosure failures, like the one floated last week by an SEC commissioner, John Cross, the director of the SEC's Office of Municipal Securities said here on Thursday.

The executive listed a few areas where the organization is targeting rule-breakers.

Your IRA Expert examines life insurance benefits, the five-year rule, and required minimum distributions.

A better informed, better educated assistant, can help an advisor improve his practice exponentially.

It turns out that Jasen Snelling, the Cincinnati man who was sentenced Tuesday to 131 months in prison for running a Ponzi scheme, also ran a ‘successful” mutual fund back in the day.

Strict new reporting rules on global assets and earnings is prompting blowback from financial institutions.

Marketing is not a one-shot thing. It is about finding a need and filling it over and over again to generate predictable results. Choose one of these action items and grow your business today.

Almost seven in 10 mass-affluent couples (69%) discuss their finances at least a few times a month. That’s more than what many spend talking about other topics, such as the election, work, sex, and even their kids.

As a new advisor, you have the luxury and ability to offer all your clients top notch service. It is easy to make everyone an “A” client when you have a small book to manage. But as the the team at Focus reminds us, as time goes on and your business grows, you start to realize pretty quickly that it is virtually impossible to offer the same type and level of services to every client in your book.

3D Asset Management today officially unveiled Vincent Leon as vice president and National Sales Manager overseeing all sales, marketing, and distribution for its Intermediary and Retirement channels.