Tag Archives: compliance

1-pager: Leveraged and inverse ETFs on the ropes

Summary
Regulators have their sights set on restructuring the market for leveraged, inverse(short) and commodity ETFs.  Increased scrutiny for these index shorts and leveraged bets have the ETF industry running for cover and it’s already impacting existing shares in common ETFs tracking commodities and sectors, like Oil and Financials.  Advisers commonly use these products for hedging [...]

Investment bank research dead? Hardly.

It’s a little to early to auger the demise of the investment bank research department.  Yes, they’ve lost their prestige and their ability to move stocks like butter.  Yes, independent, buy-side research firm Gerson Lehrman is rockin’.  Yes, we’re even beginning to see the early stages of free, collaborative research take hold here and here.
But [...]

New usability study reveals IR websites score really low

Jakob Nielsen has been writing about web usability since time immemorial (or at least, 1996).  I frequently recommend anyone thinking about writing for the Web, sending marketing emails or designing websites to sign up for his weekly alertbox at useit.com (For another oldie, yet goodie, I typically include a suggestion to check out Philip and [...]

Wither financial guidance when we need it most

I’m going to go out on a limb here and say that this financial crisis was totally avoidable.
No, not the popping of the Greenspan debt bubble — that was inevitable — but the slamming of the stock market in its wake.  This recession and destruction of financial firms was certainly probable – if not likely [...]

As Broadridge and 2nd generation social investor networks roll out, openness a key issue

Open social networks
Don’t get me wrong: I believe in openness.  I believe that social networks should be set free to self-regulate.  I believe that in a perfect world, social libertarianism makes sense.  I believe that good, quality, trustworthy content would bubble up and all that nasty, nefarious, spammy stuff would be drowned out.
But life’s not [...]

Advisors, and registered reps, stepping up with custom marketing materials

We’ve taken the bent on this blog that content sells advisory services.  As competition for a shrinking asset base in the U.S. increases, creating custom content — ebooks, newsletters, etc. — can help you target your perfect customer with value-add from the beginning of the relationship.  By providing value and differentiation from step 1, a [...]

How investing is changing before our eyes

On the heels of just a horrendous market and game-changing moves by the U.S. Government to appropriate invest salvage prop up large financial institutions, investors are left holding the bag.  Equity prices are being driven as much by the outcome of government intervention as it is by long-term views of cash flow.
The rules of investing [...]

Adviser Use of LinkedIn May Violate SEC Rules

Today’s guest post comes from Bill Winterberg, CFP®, an operations and efficiency specialist to independent financial advisers.  I thought Bill’s perspective important as we continue to explore how financial advisors can use web 2.0 technologies to build their businesses.   Check out more of Bill’s good stuff at www.fppad.com and on Twitter at @BillWinderberg
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I’m going [...]

Feb. 17 Webcast: Web 2.0 - Compliance Implications for Financial Advisors Leveraging New Media

Bruce Carton is a smart guy.  If you are interested in anything related to securities law, you’ve gotta be reading this guy. In fact, I named his site as one of the 3 best sites to uncover the next financial blowup.
On February 17, 2009, Bruce’s Securities Docket is sponsoring a webcast that will look at [...]