IAW News

IAW News

Secrets of Successful Advisors

Successful Financial Advisor

Recent research concludes that advisors with well defined value-add practices can charge premium fees and that discounting fees when markets decline is a dangerous practice, according to Morningstar.com.

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SEC Announces Advisor Examinations

Exam

 

The SEC expects to conduct examinations during the next two years of about 25% of advisors that are required to register with the regulator, reports Mondaq.com.

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FINRA Recruiting Incentives Proposal Sparks Lively Comments

A FINRA proposal that would require firms to disclose incentives used to recruit brokers is provoking lively comments, including a statement that the regulator should keep its nose out of what advisors are paid. So reports AdvisorOne.com.

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