Thursday, 5 September 2013

FINRA Issues Fewer 'Supersize' Fines

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September 5, 2013

The regulator levied fewer big-ticket fines in the first half of 2013, according to a report from Sutherland Asbill & Brennan. read more »
Is your marketing material as effective as it could be? Here are some basic guidelines to help improve your message and practice brochure. read more »
A year ago, when opposition from the asset-management industry killed her plan to make money-market mutual funds safer, sec Chairman Mary Schapiro looked to Timothy Geithner, then the Treasury Secretary, to tackle “one of the pieces of unfinished business from the financial crisis.” It remains unfinished. read more »
In the second quarter, fixed annuities experienced highest quarterly sales since 2011, according to data from Morningstar and Beacon Research. read more »
Sometimes it pays to build walls in the wealth management industry—as long as they keep competitors out and clients in. read more »
Many people think of emerging market stocks as pure growth plays, and may not realize that there is a separate potential benefit—dividends—that can also be available to investors in these markets. - Mark Mobius, Templeton Emerging Markets Group read more »

Must Read

Top Retirement Destinations Overseas

Clients often dream of retiring overseas for a change of scenery and lifestyle. Here’s what a handful of advisors have to say about some of the most popular overseas retirement destinations among their clients. read more »

Must Watch

Lessons From D.A. Davidson’s Merger with Crowell Weedon

D.A. Davidson’s Chairman and CEO Bill Johnstone discusses the growing importance of scale for smaller, regional broker-dealers. read more »

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