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Registered Rep.
April 1, 2007 |
Marilyn Dimitroff An interview about a second round of proposed revisions to the CFP Board's Code of Ethics.   |
Registered Rep.
April 1, 2007 |
401(k)s Coming Your Way? Big Blue announced that it has hired Fidelity Investments and The Ayco Company to offer financial advice to its U.S. employees. IBM's move may be a first for a major U.S. company. That's good news for financial advisors. |
Registered Rep.
April 1, 2007 |
U.S. Warming to Structured Products Structured products are winning more fans in the U.S. Sales of the hybrid securities grew 33% in 2006, to $64 billion. What investors seem to like best about the instruments is the principal protection they offer. |
Registered Rep.
April 1, 2007 |
Boys Versus Girls Another study looking at why women are so scarce on Wall Street has found some interesting (and surprising) results. |
Registered Rep.
April 1, 2007 |
Mark Orgel Describe your financial advisory practice in three words or less?... One piece of technology (or software) that's made your life easier?... |
Registered Rep.
April 1, 2007 |
Among Giants Since last June, WisdomTree has launched 36 ETFs and amassed more than $2.8 billion in assets. Of course, it helps to have the legendary Michael Steinhardt as the principal financial backer, and Wharton Professor Jeremy Siegel brings intellectual credibility to the research. |
Registered Rep.
April 1, 2007 |
When Achievement is Bull State regulators are moving to ban certain designations from marketing materials to better protect seniors. Financial advisors using senior designations to con seniors are often caught too late. |
Registered Rep.
April 1, 2007 |
Tired of Stingy-Yielding Bonds? From the heart of the Cactus League -- with the highest per-capita population of retirees outside Forest Lawn -- comes this email scam the SEC must have missed. |
Registered Rep.
April 1, 2007 |
Turf Wars Over Advice The age-old debate between the b/d and investment advisor (RIA) industries over who should be able to provide advice and when, and whose regulatory regime offers better investor protections, is far from over. |
Registered Rep.
April 1, 2007 |
Confronting the F Word Experts suggest that reps who ultimately become fiduciaries will require additional training. Simply holding various series licenses is probably not going to cut it. There are now more options than just a few years ago. |
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