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Articles tagged "regulation"


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Brian Hamburger: Things are not as complicated as some would have you believe ... so long as the advertising contains adequate disclosure.

6 ways to advertise your investment performance and not run afoul of regulators' wrath

Brian Hamburger debunks advertising myths that scare RIAs from showing off their tracks record

August 20, 2012 at 3:44 AM

On his D.C. sojourn, Neil Hokanson discovered firsthand how 'rumors are traded like bootleg whiskey on the black market.'

What happened when two advisors traveled to D.C. to be heard

Neal Hokanson and Chris Cannon, separately but with the same mission, felt like they created 'aha' moments for presumed FINRA advocates

June 21, 2012 at 4:15 AM

Les Abromovitz:  [Soft dollar use] may affect the best execution of securities transactions and might cause the client to pay more than the lowest-available commission.

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 at 5:14 AM

Rick Keller: It was stressful to compete in a world where investment management services are combined with a broad bank platform so, I decided to open my own bank.

In a twist, RIA opens a bank - to significant success

Despite increased oversight, the one-stop-shopping model has worked for First Foundation

June 1, 2011 at 2:36 PM

Zachary Gronich:  Make no mistake, the annual renewals are the most important on-going compliance issue.

The quick and easy route to getting your RIA license suspended

Renewal gauntlet begins next week with a moved-up deadline

November 6, 2009 at 5:05 AM

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