Articles tagged "NCS"

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Betterment explains why its Brexit-sparked trading halt on Friday wasn't 'suspended' trading

The $4.8-billion robo-advisor frames its trading actions in terms of discretionary management of assets but the prerogative it asserts puts RIA clients in a tight spot

June 28, 2016 — 10:43 PM UTC

An advertiser's-eye view of TD Ameritrade's national conference

Firms that rarely advertise had booths, including mega-RIAs, competing custodians and Marty Bicknell

February 3, 2014 — 4:40 AM UTC

RIAs need to take a hard look at their use of soft dollars

Some advisors are landing in hot water with the SEC

November 11, 2011 — 5:14 AM UTC

Why compliance experts are apt to dislike Facebook

When does a click constitute an endorsement?

May 13, 2011 — 1:08 PM UTC

What not to do during a state or SEC audit

The four tempting -- but ultimately counterproductive -- tacts advisors sometimes take

March 8, 2011 — 2:37 PM UTC

Considering hosting a radio show? The SEC may tune in.

Radio programs and commercials pose compliance complications. Disclosure helps.

January 20, 2011 — 2:30 PM UTC

In the duel of FINRA vs. state courts, one comes out on top for most advisors

Rarely seen stats shed light on whether you are more likely to win in arbitration

January 13, 2011 — 2:19 PM UTC

The marketing naughty and nice list

Catchwords and strategies likely to draw regulators' ire -- and others that pass anyone's test

December 23, 2010 — 2:51 PM UTC

Why you should pay attention to proliferating advisor credentials

Les Abromovitz heads to Nebraska to figure out which letters are worthwhile -- and which take little more than a check and a pulse to earn

November 2, 2010 — 6:03 AM UTC

So you're an RIA. Be careful about calling yourself one, says the SEC

Beware of using the term as focal point for marketing; some states may have competing regulations

October 11, 2010 — 4:41 AM UTC