Advisor Business
Mary Schapiro Pleads The SEC's Case For More Money, But Does The Independent Audit Help Or Hurt Her?
Mary Schapiro danced around some sore spots in her big day in Congress as she formally argued that the SEC needs help meeting its newly expanded obligations.
Securities Lawyer's Frustration Over SEC Pornography Scandal Hits FOIA Brick Wall
After nearly a year of legal wrangling, a Denver security lawyer's crusade to uncover exactly what was going on in the SEC's infamous "office pornography" scandal has hit what looks like a wall.
Bankers Making An End Run On Ownership Of The "Fiduciary" Designation And Brand
Last weekend's American Bankers' Association conference in Miami brought plenty of buzz, including a repeat of the old controversy over whether advisors are "real" fiduciaries or not.
SEI Advisor Network Added 400 RIAs With $5 Billion In AUM
Outsourced wealth management and backoffice vendor SEI attributes its success in signing up another 406 advisors last year -- a record -- to its value-added practice management platform.
Tenth Circuit Court Of Appeals Exempts "Loss Leader" Advice From Fiduciary Rules
Underreported: An appellate court has upheld an earlier ruling that as long as clients are not charged separately for financial advice, the "advisors" aren't subject to fiduciary rules.
