News

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  DOL’s Borzi: Lawmakers Can’t Hold Back Fiduciary Plan

  By Melanie Waddell, AdvisorOne  |  June 18, 2013

  Efforts by members of Congress to slow the DOL’s reproposal of its fiduciary rule will have little to no effect, Phyllis Borzi, assistant secretary of DOL’s Employee Benefits Security Administration, said Tuesday.

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  AdvisorOne’s Best Comments: Goldfarb, Fiduciary, Referrals

  By Ron Pechtimaldjian, AdvisorOne  |  June 18, 2013

  Our regular collection of some of the most recent—and most thought-provoking—comments made by readers on AdvisorOne.

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  Envestnet Finds 20% Income Rise for RIAs Who Integrate Tech

  By Joyce Hanson, AdvisorOne  |  June 18, 2013

  The Envestnet | Tamarac white paper also found that registered investment advisors with some level of integration have almost twice the amount of assets under management as RIAs with the same size staff but no integration.

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  Palaveev: First Allied Sale Part of a ‘Second Wave’ of Investment

  By Janet Levaux, AdvisorOne  |  June 18, 2013

  Philip Palaveev discusses what the interest of private-equity investors like Nicholar Schorsch means for independent broker-dealers.

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  FSI Claims Victory in Florida ‘Notice-Filing State’ Battle

  By John Sullivan, AdvisorOne  |  June 18, 2013

  The law makes it easier for advisors to make changes to their business.

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  FINRA Targeting Firms’ Social Media Use

  By Melanie Waddell, AdvisorOne  |  June 18, 2013

  FINRA is conducting spot checks of firms’ social media communications on Facebook, Twitter, LinkedIn and blogs.

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  Bill Would Force DOL to Let SEC Fire First on Fiduciary

  By Melanie Waddell, AdvisorOne  |  June 17, 2013

  The House Financial Services Committee plans to mark up a bill introduced Wednesday that would require the DOL to wait 60 days to publish its fiduciary rule after the SEC has released its own measure.

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  30 Best Paying College Majors: 2013

  By Dan Berman, AdvisorOne  |  June 17, 2013

  Looking for the big payday after college? The rankings of these majors are based on data collected from 1,000 universities and graduates with bachelor’s degrees.

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  Best Firms for Self-Directed Investors: J.D. Power—2013

  By Janet Levaux, AdvisorOne  |  June 17, 2013

  The survey finds that, with some exceptions, investment firms are not communicating well when it comes to fees, online tools and products.

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  SEC, FINRA, State Exam Execs Lay Out Priorities

  By Melanie Waddell, AdvisorOne  |  June 17, 2013

  Priorities include conflicts of interest, email retention, cybersecurity and some specific products, the executives said at the IRI legal and regulatory conference.