investment product

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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.

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  Advisors, Start Preparing Now for the Post-Boomer World

  By Ellen Uzelac  |  May 28, 2013

  After years of baby boomer-this and baby boomer-that, urgent attention is now being directed at next-generation wealth accumulators—and how best to serve their needs.

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  Top 10 Ways to Stop Elder Financial Scams

  By Melanie Waddell, AdvisorOne  |  March 28, 2013

  CFP Board consumer advocate Eleanor Blayney describes 10 common situations in which older Americans are vulnerable to financial abuse and offers advice to guard against it.

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  SEC Enforcement Roundup: Husband and Wife Charged in Charity Fraud Against Seniors

  By Marlene Y. Satter, AdvisorOne  |  February 7, 2013

  Also among recent enforcement actions was the sentencing of an insider trading informant who managed to avoid prison time for his cooperation.

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  Wealth Managers: Tell Your Clients to Stop Being Afraid

  By Joyce Hanson, AdvisorOne  |  January 18, 2013

  Advisors who keep an eye on the curious and sometimes counterproductive behavior of investors can combat lackluster returns in their own clients’ portfolios.

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  Where to Invest if Rates Rise—Searching for Alpha for December 2012

  By Ben Warwick, Quantitative Equity Strategies  |  December 3, 2012

  How we may change our portfolios if rates head higher, with market index performance for November 2012.

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  ETFs & Taxes: A Deeper Look

  By William H. Belden III  |  November 16, 2012

  Investor and advisors can benefit from understanding the advantages and downsides of exchange-traded funds and other products

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  ‘No Timing’ on VA Summary Prospectus: SEC’s Nash

  By Melanie Waddell, AdvisorOne  |  November 1, 2012

  Nash also said she “couldn’t predict” where such a rule proposal falls among the SEC’s priorities.

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  Can Advisors Have ‘Zero’ Conflicts of Interest? The Legal and Regulatory Record

  By Rex Staples, CFP Board of Standards Inc.  |  October 9, 2012

  The CFP Board’s director of investigations makes the case that there is no such thing as “zero” conflicts of interest and that the nature of “material” conflicts of interest is subject to change.

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  What’s Next for the Growth of ETFs?

  By Tony Davidow, Guggenheim Investments  |  October 8, 2012

  Advisors are looking for finer slices of capital markets, as well as better beta and alternative weighting methodologies for gaining exposure to market segments.