Added on September 2017 in Form an RIA
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Summary: The Financial Industry Regulatory Authority Inc.'s mission is to protect investors from fraud and bad practices. It does this by writing and enforcing rules and regulations governing the nation's 3,700 broker-dealers and the 631,000 brokers who are affiliated with them.
Added on September 2017 in Form an RIA
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Summary: A cofounder of Graystone Consulting, Morgan Stanley’s wealth management business that caters to institutions and wealthy individuals, has left the group to start his own independent advisory firm.
Added on August 2017 in Form an RIA
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Summary: Following its latest wave of exams, the SEC's Office of Compliance Inspections and Examinations found the results are a decidedly mixed bag when it comes to how firms are working to protect sensitive systems and client information from hackers.
Added on August 2017 in Form an RIA
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Summary: When meeting with advisers in their offices, I often hear, “The average age of our client base is 67 years old. We know the statistics — 90% of children fire their parent’s adviser. We are scared to death that we will lose the next generation. We need to offer a robo solution because these kids have grown up in the digital age!”
Added on August 2017 in Form an RIA
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Summary: Registered investment advisers will have to provide more client account data and social media information in a revised Securities and Exchange Commission registration form that will go into effect this fall.
