Updated Monday, January 26, 2015 as of 3:22 AM ET
Buy the Book: When to Purchase Your Client List
When does it make sense to buy your list of clients? Attorney Alan Foxman explains.
More in Regulatory/Compliance
Norm Champ, the SEC’s director of investment management, will resign after five years at the agency, the SEC said. more »
The president used his annual speech before Congress to defend Dodd-Frank while pleading that lawmakers pass cybersecurity legislation. more »
“Everybody should be concerned about cybersecurity,” says John Taft, CEO of RBC Wealth Management-U.S. more »
Pimco will fight a lawsuit by a shareholder of its Total Return Fund alleging the company gouges investors with excessive advisory fees to support billion-dollar bonuses for top executives. more »
Here's what the brokerage industry's disinformation-mongers might be telling senior brokerage executives. more »
In laying out exam priorities for 2015, regulators cite mounting complexity of products and services in the retirement space. more »
Judge has yet to rule on board's request for summary judgment; if granted, the parties would avert trial. more »
Anastasios "Tommy" Belesis, the former head of John Thomas Financial, was barred from the brokerage industry for life by FINRA for trading ahead of clients' orders. more »
With recent high profile data breaches fresh in mind, here are some best practices and tips to keep you and your clients safe from data threats. more »
The IRA contribution limit in the U.S. is $5,500; Canada's limit is $20,000. If an investor is willing to put away that much money, why not allow it, one write asks. more »
Advisors in the Midwest and on the West Coast noticed information from their accounts on Pastebin, a website notoriously used for posting hacked or leaked information. more »
Years after being barred from the industry by FINRA, a former LPL broker is heading to prison for embezzling more than $250,000 from mostly elderly clients. more »
The breach illustrates the danger posed when just one employee has unauthorized or unsecured access to sensitive information, as well as the ongoing threat to financial institutions from insider theft. more »
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