industry groups

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  Investors Lack Basic Financial Literacy Skills: SEC Study

  By Melanie Waddell, AdvisorOne  |  August 30, 2012

  Retail investors—particularly minorities and the elderly—fail to understand concepts such as compound interest, inflation or the differences between stocks and bonds, according to a just-released study by the SEC and the Library of Congress.

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  2012 Fiduciary Findings Pt. 2: How Advisors Feel About Effects of Fiduciary Standard

  By Kathleen M. McBride, FiduciaryPath  |  May 6, 2012

  The second annual AdvisorOne-fi360 survey gauging advisors' attitudes on the fiduciary standard found that many respondents would welcome a DOL-like fiduciary standard on retirement accounts.

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  The New and Improved Form ADV

  By Les Abromovitz  |  January 1, 2012

  Whether an RIA is describing its investment strategy in advertisements or in the new Form ADV Part 2, it is important the firm articulates material risks faced by advisory clients and avoids language that might be construed as a guarantee.