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Investment Advisor
June 2009
Melanie Waddell |
Retirement News & Products News on healthcare, target date funds, and insurance.   |
Investment Advisor
June 2009
Elizabeth D. Festa |
B/D Briefing: Keys to B/D Success A new study reveals that a broker/dealer's growth can be stunted, the investor experience harmed, and the firm's brand jeopardized by the lack of an efficient operational platform. |
Investment Advisor
June 2009
Elizabeth D. Festa |
When Less Is More It appears that the best broker/dealers limit the number of investment vehicles on their approved list. |
Investment Advisor
June 2009 |
B/D News & Products Important news for broker/dealers: The Financial Industry Regulatory Authority (FINRA) is proposing a major expansion of its BrokerCheck service... Fraud charges against several entities and individuals who operate the Reserve Primary Fund... more... |
Investment Advisor
June 2009
Thomas D. Giachetti |
Expert's Corner: Complacency, Risk and the SEC Often advisors become complacent with respect to compliance, but all RIAs must recognize that compliance is an ongoing process requiring the review/update/amendment of regulatory filings, disclosures, and procedures. |
Investment Advisor
June 2009
Contributing Writer |
Soapbox: Algorithms vs. Arithmetic There are security analysts who have no fear about taking positions in derivatives based on arcane algorithms, but they seem to when it comes to analyzing investments based on commercial and apartment real estate rentals. |
Investment Advisor
June 2009
Melanie Waddell |
SEC's Walters Backs Harmonizing B/D, Advisor Rules Yet another top official at the SEC is championing the idea of harmonizing rules for investment advisors and broker/dealers. |
Investment Advisor
June 2009
Larry Chambers |
Not Sitting Still If you're busy cutting your advisory firm's marketing budget right now because revenues are down, think twice. |
Investment Advisor
June 2009
Russ Diachok |
Coming to an RIA Near You One of the scenarios arising from the financial crisis and frauds like the one perpetrated by Bernie Madoff will be greater regulation of broker/dealers. |
Investment Advisor
June 2009
Robert F. Keane |
About the Planner Facts and figures about Bob Whalen, president of Brewer Financial Services. |
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