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Summary: Rep. French Hill, R-Ark., a member of the House Financial Services Committee, said Thursday that he plans “to explore” introducing a bill that would give the Financial Industry Regulatory Authority the authority to examine investment advisors
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Summary: When financial advisers start their careers, they typically discover challenges they hadn’t expected. Many don’t make it through those harrowing first years. Here, some advisers who still are in their early years of practice share some of the surprises they have encountered, mistakes they have made and the lessons learned.
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Summary: The Securities and Exchange Commission on Wednesday unanimously proposed a rule that would require investment advisers to disclose more information about their use of separately managed accounts and their social media activities.
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Summarry: In a wide-ranging session at the Envestnet Advisor Summit in Chicago on April 8, MarketCounsel’s founder and CEO Brian Hamburger addressed many of the big regulatory and compliance issues facing advisors, and that one of the main issues is the regulators themselves.
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Summary: The Securities and Exchange Commission and Financial Industry Regulatory Authority Inc. together issued an alert to investors to be wary of automated online investment platforms, putting advisers on notice that the Wild West of robo-advice is not going unnoticed.
