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Let your social media actions adhere to the Golden Rule. Seek out ways to be helpful, says Joanna Belbey, social media and compliance specialist for compliance technology firm Actiance.

Norm Champ, the director of the SEC’s Division of Investment Management, said the regulator will be asking “tough questions” of fund directors. A key focus: Are fund directors stretched too thinly, overseeing too many funds?

The general counsel for the advocacy group that represents the investment fund industry said Monday that financial transaction taxes harm investors, retirement savers, market operations, economic growth and investment returns.

The trade group will open an office in the center of finance and international business to gather “real-time information” about Asian markets.

Neuberger Berman Group has announced it will begin offering a zero-sales-charge share class.

Wells Fargo has hired 17 advisors to its standalone branches and added nine advisors to its independent brokerage business, Financial Network.

LinkedIn is a powerful tool for advisors to connect with potential clients, but it should be used with careful diligence. Failure to do so could result in ineffective platform execution, or even worse – a breach in compliance.

LinkedIn is a powerful tool for advisors to connect with potential clients, but it should be used with careful diligence. Failure to do so could result in ineffective platform execution, or even worse – a breach in compliance.

If approved by stockholders in LPL’s annual meeting in May, Mulcahy will also serve on the Board’s Audit Committee.

The firm continues to expand its presence in Florida with the addition of a second Wells Fargo broker.