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Articles tagged "NCS"


What looks disorderly at TD has the dead reckoning of dollars following ROI opportunity.

An advertiser's-eye view of TD Ameritrade's national conference
Firms that rarely advertise had booths, including mega-RIAs, competing custodians and Marty Bicknell

Monday 2.3.14
Les Abromovitz:  [Soft dollar use] may affect the best execution of securities transactions and might cause the client to pay more than the lowest-available commission.

RIAs need to take a hard look at their use of soft dollars
Some advisors are landing in hot water with the SEC

Friday 11.11.11
Les Abromovitz: In a discussion of this issue, one attorney at NCS argued that the individual was giving the Facebook page a thumbs-up, not the advisory firm. It remains to be seen if regulators will make that distinction.

Why compliance experts are apt to dislike Facebook
When does a click constitute an endorsement?

Friday 5.13.11
Les Abromovitz: The fact that another adviser is engaging in the same conduct does not make it compliant. For example, you won’t help your cause by showing examiners other RIA websites that are just as noncompliant as yours is.

What not to do during a state or SEC audit
The four tempting -- but ultimately counterproductive -- tacts advisors sometimes take

Tuesday 3.8.11
Les Abromovitz: Glowing remarks by clients may count as testimonials.

Considering hosting a radio show? The SEC may tune in.
Radio programs and commercials pose compliance complications. Disclosure helps.

Thursday 1.20.11
Alan Foxman: Is arbitration the greatest thing since sliced bread, or is it the proverbial kangaroo court?

In the duel of FINRA vs. state courts, one comes out on top for most advisors
Rarely seen stats shed light on whether you are more likely to win in arbitration

Thursday 1.13.11
Les Abromovitz: Recently, one RIA firm that I work with claimed to have created hundreds of unique solutions. Those kinds of claims invite a securities examiner to ask for proof that the firm’s solutions are truly out of the ordinary.

The marketing naughty and nice list
Catchwords and strategies likely to draw regulators' ire -- and others that pass anyone's test

Thursday 12.23.10
Les Abromovitz: Aside from the issue of whether a designation or certification is misleading, all financial services firms should be concerned about investment advisers who claim to have credentials they did not earn.

Why you should pay attention to proliferating advisor credentials
Les Abromovitz heads to Nebraska to figure out which letters are worthwhile -- and which take little more than a check and a pulse to earn

Tuesday 11.2.10
Les Abromovitz: The SEC’s observation was surprising.

So you're an RIA. Be careful about calling yourself one, says the SEC
Beware of using the term as focal point for marketing; some states may have competing regulations

Monday 10.11.10
Charles Goldman: Off advisors' minds.

What do advisors care about? The new SEC that emerged in July, for one thing.
Plus, what a Smith Barney breakaway team is finding out about financial plans

Thursday 8.12.10

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