|
 |
FA Magazine
Financial Advisor delivers essential market information and strategies that advisors need to succeed in their increasingly complex environment. FA focuses on planning and investment strategies to help advisors better serve their clients, as well as practice management ideas to help advisors build their firms.
FA goes in-depth to challenge traditional planning wisdom by introducing readers to new approaches to help them better
counsel clients. |
|
|
|
 |
Registered Rep Magazine
Registered Rep. is a magazine for the retail investment professional, serving brokers, financial advisors and financial planners with coverage of industry trends, news about the firms, and the latest products and innovations. Each month, Registered Rep. covers issues facing this evolving profession—from new products to regulatory changes and practice-management topics. |
|
|
|
 |
Investment News
InvestmentNews delivers news and analysis essential to the business of financial advisers. The publication provides comprehensive news with accurate, independent reporting
on the financial services industry. InvestmentNews provides financial advisers with insight into the market and up-to-date
market information on the stories and events affecting their
clients' investments. |
|
|
|
 |
RIA Biz
Registered Investment Advisors serves RIAs and individuals who want to know more about them. This on-line resource provides insightful articles that keep RIAs informed about their business, news pieces focused on products and services and insights into the regulatory environment. In addition, RIA Biz places an emphasis on getting the best thinkers in the RIA, 401(k) and advisory technology industry to contribute thoughts in their area of expertise. |
|
|
|
 |
On Wall Street
On Wall Street provides financial advisors with the best information and analysis in the industry, covering a wide range of topics, including the latest changes in broker compensation, breaking news on the regulatory and legal fronts, new product offerings, the consolidation of companies and the movement of brokers and top executives between firms. On Wall Street also provides its readers with advice on how to promote their careers and their practice, and gives a voice to industry experts to offer practical guidance for brokers on maximizing returns in client portfolios. |
|
|
|
|
 |
Society of Financial Services Professionals
The Society of Financial Service Professionals helps individuals, families, and businesses achieve financial security. With their strong commitment to delivering only those financial products and planning services that are in their clients' best interests, the Society's approximately 15,000 members nationwide are uniquely qualified to assist the public in reaching their future financial goals—today, tomorrow, and into the next millennium. |
|
|
|
 |
FINRA
FINRA is the largest independent regulator for all securities firms doing business in the United States. Industry professionals can access the information, training and other resources needed to stay current and comply with FINRA rules and regulations. |
|
|
|
 |
SEC
The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The SEC oversees the key participants in the securities world, including securities exchanges, securities brokers and dealers, investment advisors, and mutual funds |
|
|
|
 |
SIPC
When a brokerage firm is closed due to bankruptcy or other financial difficulties and customer assets are missing, SIPC steps in as quickly as possible and, within certain limits, works to return customers' cash, stock and other securities, and other customer property. Without SIPC, investors at financially troubled brokerage firms might lose their securities or money forever or wait for years while their assets are tied up in court. Although not every investor is protected by SIPC, no fewer than 99 percent of persons who are eligible get their investments back from SIPC. |
|
