SEC Charges Prominent San Diego Financial Planner with Fraud

Full and complete disclosure to your clients is a critical component of your advisory business. This was illustrated perfectly today when the SEC charged a prominent San Diego-based financial advisor... [...]

Based upon Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Securities and Exchange Commission voted this week to propose rules that lay out the process... [...]

It is official, social media madness has taken over. Do you feel like you are behind the times because you do not have a social media presence? Not sure how... [...]

On September 13th , the House Committee on Financial Services held a hearing to discuss forming a self-regulatory organization (“SRO”) for investment advisers. There have been three options floating around... [...]

The U.S. Securities and Exchange Commission (“SEC”) has posted a webpage with frequently asked questions regarding the switch of investment advisers with less than $100 million of assets under management... [...]

The Department of Labor (DOL) has proposed changes to the fiduciary definition under the Employee Retirement Income Security Act. This change has far-reaching implications for your retirement plan and individual... [...]