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|
What do advisors care about? The new SEC that emerged in July, for one thing.
Plus, what a Smith Barney breakaway team is finding out about financial plans
|August 12, 2010 — 3:50 AM UTC|