retail investors

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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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  3 Yardsticks for Measuring Fund Performance

  By Ronald Delegge, ETFguide.com  |  June 7, 2013

  A look at the do's and don'ts of judging mutual funds and making sure they stay on track

• DOL’s Borzi: Fiduciary Redraft Out a Couple of Months After July

  By Melanie Waddell, AdvisorOne  |  June 4, 2013

  The DOL's reproposed fiduciary rule will likely be released a "couple" of months after July, Phyllis Borzi, assistant secretary for EBSA, said during a Tuesday afternoon meeting with the ERISA Advisory Council.

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  Bullard’s Blistering Critique of House Fiduciary Plan Offers Way Forward

  By Knut A. Rostad  |  June 4, 2013

  A congressional hearing in late May showcased the latest arguments against SEC fiduciary rulemaking.

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  The 2013 IA 25 Slideshow: CEOs

  By Editorial Staff  |  May 27, 2013

  As the leaders of major firms in the industry, these people could be fairly called the epicenter of influence.

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  House Measure to Slow Fiduciary Rulemaking Poses Little Threat: Industry Officials

  By Melanie Waddell, AdvisorOne  |  May 23, 2013

  A discussion draft introduced Thursday designed to stymie efforts by the SEC and DOL to craft fiduciary rules will prove to be of little consequence, fi360's Duane Thompson and other experts said.

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  Fidelity, TD Ameritrade Raise Stakes on ETFs

  By Joyce Hanson, AdvisorOne  |  May 14, 2013

  As the ETF industry gains a larger foothold in the U.S. capital markets, Fidelity and TD Ameritrade are plunging deeply into the ETF space.

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  Jon Sundt: The 2013 IA 25 Extended Profile

  By John Sullivan, AdvisorOne  |  May 8, 2013

  Jon Sundt doesn’t have time for pleasantries. He’s in liquid alternatives, after all.

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  Crossing Paths: The 2013 IA 25

  By Editorial Staff  |  April 29, 2013

  With Investment Advisor's 13th annual list of the most influential individuals in and around the advisor business, we decided to do something different.

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  The CFPB Warning on Senior Designations: Off the Mark

  By Bob Clark, AdvisorOne  |  April 23, 2013

  Is cracking the whip on deceptive seminars for seniors really the most important issue a Consumer Financial Protection Bureau should be pursuing?