Did CFP Board Overreact With Goldfarb Sanction?
Readers reacted loudly to news that the CFP Board sanctioned former chairman, Alan Goldfarb for selecting "fee only" and, later, "salary" to describe his income on a form on the FPA website. More Advisor Care Needed on Hedge Funds
Increased demand for due diligence on hedge funds -- if not for the funds themselves -- may be the initial impact of the SEC's recent ruling lifting an 80-year-old ban on advertising for private offerings. FINRA Fines 4 Firms, Including LPL
The Financial Industry Regulatory Authority fined four firms $106,000 and fined and suspended an individual for municipal securities rule violations. 9 Pro Athletes Who Sued Their Advisors
Professional athletes are enticing prospects for advisors. They've made it big, encountered a sudden windfall of wealth and many are young- sometimes right out of high school- and do not have the experience to understand how to manage it all themselves. Unfortunately, those conditions have also made for some of the most contentious disputes. Social Media Compliance Tool Gets an Upgrade
To help financial services firms adhere to corporate and regulatory standards when it comes to social media communciations, Actiance unveiled review and approval capabilities to its Socialite social-media management program. Senate Panel Urges Confirmation of
SEC Nominees
The Senate Banking Committee unanimously agreed to recommend the full Senate confirm Kara Stein and Michael Piwowar as Securities and Exchange Commission members and approve chairman Mary Jo White to serve a full term. Research Roundup: Time to Kick the "Ick"Factor for Energy and Materials
Is it time to kick the "ick" factor in energy and resources? We tend to look for value in areas that have been overlooked by the markets. In this case, there are parts of this market that has been left for dead; these areas are energy and basic materials. -- Scott Colyer of Advisors Asset Management Contact Us Matt Ackermann
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