by Patrick M. Kelly | Feb 28, 2014 | Broker-Dealers, Financial Advisors, SEC
“The agency will ‘intensify’ its focus on the role of financial advisors in 2014,” agency chairwoman Mary Jo White emphasized in a speech Friday morning, February 21 .[pullquote]The agency will ‘intensify’ its focus on the role of financial advisors in...
by Patrick M. Kelly | Feb 25, 2014 | Financial Advisors, FINRA
FINRA’s board of governors approved a rule proposal on Thursday, February 14, that would impose new limits on financial advisors’ ability to remove information about customer disputes from BrokerCheck, the regulator’s online portal where investors...
by Patrick M. Kelly | Feb 13, 2014 | Job Market
“Advisory firms are going to have to rethink their hiring philosophies to meet the growing demand for investment advice,” according to industry representatives and academics. Deena Katz, an associate professor of financial planning at Texas Tech University, argued...
by Patrick M. Kelly | Feb 10, 2014 | Financial Recruiting Industry, Job Market
“Cut Your Best Deal Now” OnWallStreet.com’s annual Recruiter Roundtable met in January with discussions on future issues within the industry and the prognosis for financial advisor recruiting in the months to come. Bill Willis, President and CEO of Willis-Consulting,...
by Patrick M. Kelly | Feb 3, 2014 | Financial Recruiting Industry
If it would cause millions of low-income Americans to save for retirement who are not currently doing so, then, it just might be a “breakthrough”. [pullquote]I think it’s going to cause a lot of people to actually get started saving[/pullquote]Sheryl Garrett, head of...
