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Ken Joseph will take over the role of regional director of the examination program for the New York Offices of the SEC
July 3 -
Serving clients from the world of venture capital poses special challenges for planners. Much like entrepreneurs, VC general partners bring risky and highly concentrated investments that cry out for diversification.
July 3 -
Marketing expert Marie Swift says that if you believe that your brand of personal advice and investment acumen needs to find its way into the lives of more right-fit clients, stop procrastinating and pick a couple marketing initiatives to start now.
July 3
Impact Communications -
Large arbitration cases of $10 million or more can now create new processes to fit a case and go around certain established rules under a new pilot program launched today by the Financial Industry Regulatory Authority, or FINRA.
July 2 -
Advisors who provide services to defined contribution plan sponsors can boost client loyalty through greater plan support and oversight, according to a study by Cogent Research.
July 2 -
Higher operating costs, increases in employee compensation and losses in equity markets took their toll on the regulators books.
July 2 -
The Chicago-based company announced Monday it added a pair of experienced advisors from UBS. The team is the sixth HighTower has added this year.
July 2 -
Charles Schwab yesterday rolled out the first version of the new Schwab Advisor Center app for the iPhone for independent investment advisors who custody assets with Schwab Advisor Services.
July 2 -
Education and healthcare retirement plans are using more target date funds and Roth features in their plans, according to the latest 403(b) plan sponsor survey from the Plan Sponsor Council of America.
July 2 -
How often have sponsors had to intervene to prop up money market funds?
July 2
