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  6 Overlooked Criteria for Broker-Dealer Due Diligence

  By Jonathan Henschen, CFS, Henschen & Assoc.  |  October 23, 2012

  It’s not surprising that when the majority of registered reps look to change their broker-dealer, they tend to focus on short-term factors and immediate satisfaction.

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  BDs Beware: Social Media Privacy Laws May Conflict With FINRA Rules

  By Melanie Waddell, AdvisorOne  |  July 12, 2012

  “Legislation that limits access to social media information may pose significant challenges for a large number of broker-dealers,” lawyers from Sutherland Asbill & Brennan wrote in a Law360 article.

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  4 Rules of Thumb for Attracting New Clients

  By James Carney, ByAllAccounts  |  February 15, 2012

  To get good new clients, understand how investors choose an advisor, and why they do--and don't--make referrals.

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  Regulatory Oversight of Investment Advisors

  By Les Abromovitz  |  January 1, 2012

  Although the regulatory environment is in a state of flux, it is imperative that RIAs adhere to their compliance obligations. To ensure compliance, RIAs and IARs must fully understand what those obligations are.

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  Scope of the Fiduciary Duty Owed by Investment Advisors

  By Les Abromovitz  |  January 1, 2012

  A fiduciary obligation goes beyond the suitability standard typically owed by registered representatives of broker-dealer firms to clients. The relationship is built on the premise that the advisor will always do the right thing for the person or entity receiving advice.

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  Fact Check: Did Mobius Say Financial ‘Armageddon’ Was Coming Soon?

  By Gil Weinreich, AdvisorOne  |  November 17, 2011

  A Forbes blogpost with a screaming headline pegged to Mark Mobius about a 'hellish' financial crisis shortly forthcoming has been generating plenty of fear in the Internet sphere.