Wealth Management

NOVEMBER 4, 2024

The commission settled charges that Wahed Invest violated the ad rule when including a pro soccer player and MMA athletes in marketing without clarifying that they weren’t clients and were compensated.

Commission 349

Commission Clients Investing Investments 349

Zoe Financial

JANUARY 28, 2025

Market Timing vs. Time in the Market Updated January 28th, 2025 Reading Time: 4 minutes Written by: The Zoe Team Though these terms may sound similar, market timing is not the same as time in the market. It all comes down to human psychology and the relationship between markets and volatility. Lets take a poll.

Marketing 98

Marketing Marketing Financial Advisor Taxes 98

Abnormal Returns

AUGUST 28, 2024

slate.com) How to negotiate real estate commissions today. (ofdollarsanddata.com) Why even people in retirement are considering Roth IRA conversions. nytimes.com) Negotiating How to negotiate with your credit card company. wsj.com) Personal finance We are all stuck in our own frames. How to get out.

Retirement 287

Retirement Commission Marketing Marketing 287

Wealth Management

SEPTEMBER 25, 2023

Wellesley Asset Management failed to properly disclose that it used hypothetical performance in advertisements for an index it created, according to the commission.

Advertising 277

Advertising Commission Marketing Marketing 277

Wealth Management

SEPTEMBER 11, 2024

According to the commission, Donald Anthony Wright made false statements when selling promissory notes to clients to fund the purchase of a Texas-based media marketing company.

Commission 277

Commission Media Clients Marketing 277

Wealth Management

NOVEMBER 11, 2022

The firm’s executives said they are pressing forward on the path toward becoming a national RIA, lowering platform fees, bringing commission trails in-house, expanding capital options for the affiliated businesses, and bulking up its suite of services designed for fee-based advisors.

Commission 246

Commission Marketing Marketing 246

Trade Brains

JUNE 26, 2025

The shares of Solar company, specializing in the manufacturing of integrated solar cells and solar panels, and others, are in focus upon commissioning a new 1.2 With a market capitalization of 47,072.11 With a market capitalization of 47,072.11 Crores on Friday, the shares of Premier Energies Ltd jumped upto 1.7

Commission 69

Commission Manufacturing Investment Advisor Investing 69

Nerd's Eye View

APRIL 11, 2025

Senate has confirmed Paul Atkins to be the next Chair of the Securities and Exchange Commission (SEC). Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that the U.S.

Financial Planner 159

Financial Planner Communication Commission Clients 159

Abnormal Returns

OCTOBER 15, 2024

papers.ssrn.com) Zero commissions could obscure the true costs of trading. papers.ssrn.com) Quant stuff How XTX Markets have generated huge profits using cutting edge quant models. Retail Just how profitable is to trade against retail order flow? on.ft.com) A look at the companies behind the scenes setting odds at online sports books.

Commission 278

Commission Retail Marketing Marketing 278

Wealth Management

NOVEMBER 4, 2024

The commission settled charges that Wahed Invest violated the ad rule when including a pro soccer player and MMA athletes in marketing without clarifying that they weren’t clients and were compensated.

Commission 246

Commission Clients Investing Investments 246

Wealth Management

NOVEMBER 4, 2024

The commission settled charges that Wahed Invest violated the ad rule when including a pro soccer player and MMA athletes in marketing without clarifying that they weren’t clients and were compensated.

Commission 242

Commission Clients Investing Investments 242

Wealth Management

OCTOBER 17, 2022

According to the commission, Keith Springer and his firm used “deceptive marketing” via ads and his radio show to attract investors, many of whom were retirees.

Retail 262

Retail Commission Clients Marketing 262

Wealth Management

DECEMBER 2, 2022

The Securities and Exchange Commission chair describes his philosophy of markets and regulation—and why he loves climbing mountains.

Commission 252

Commission Marketing Marketing 252

Nerd's Eye View

DECEMBER 7, 2022

For investment advisers looking to attract prospective clients, advertising the performance of their investment strategies would be a logical way to market their services (at least if they had strong historical returns!). Two final prohibitions under the Marketing Rule include restrictions on the use of predecessor performance (e.g.,

Advertising 246

Advertising Investing Investments Marketing 246

Abnormal Returns

MARCH 24, 2024

morningstar.com) How home buying is going to change with the upheaval of realtor commissions. theirrelevantinvestor.com) Why has the EV market stalled out? (abnormalreturns.com) Top clicks this week Ten things to know about building a diversified portfolio. spyglass.org) AI is coming for every company you own. downtownjoshbrown.com)

Commission 306

Commission Numbers Portfolio Marketing 306

The Big Picture

JULY 17, 2023

Global capital markets (stocks, bonds, private investments, real estate) are worth over $100 trillion. If you want to get rich in the markets, there are a few things you need to know that very few people will tell you. But I’m going to share with you the ten ways I know where you can get score big in the markets.

Marketing 246

Marketing Marketing Commission Investing 246

NAIFA Advisor Today

AUGUST 1, 2023

In the rapidly evolving health insurance sales landscape, efficient process management poses significant challenges for Field Marketing Organizations (FMOs) and Brokerage General Agencies (BGAs).

Commission 98

Commission Insurance Sales Accounting 98

Wealth Management

JUNE 26, 2025

and Orchard Park Real Estate Holdings, was originally charged in January by the Securities and Exchange Commission and DOJ. Mason, who ran Rubicon Wealth Management, a registered investment advisor in Gladwyne, Pa., He pleaded guilty to all of the criminal charges.

Clients 275

Clients Estate Planning Wealth Management Planning 275

The Big Picture

APRIL 28, 2023

Presidential Task Force on Market Mechanisms (Brady Commission) for the U.S. Department of the Treasury which was tasked with studying the stock market decline of October 1987. He was a staff member of the U.S. He has been an IFM Trustee since 1991.

Investing 278

Investing Investments Commission Consulting 278

Wealth Management

AUGUST 14, 2023

The Department of Justice and the Securities and Exchange Commission are both looking into Nightingale Properties after it allegedly diverted $40 million of equity from investors, reports Bisnow. CBRE issued a new report finding that pain in the office market is uneven.

Commission 246

Commission Investing Investments Marketing 246

MarketWatch

MAY 25, 2023

New York City’s banking commission voted to freeze deposits at Capital One Financial Corp. All three members of the banking commission — which include the comptroller, mayor and finance commissioner — voted to take the action against Capital One and KeyCorp, which respectively held $7.2 Shares of Capital One slipped 0.7%

Commission 98

Commission Banking Financial Services Planning 98

Nerd's Eye View

MARCH 14, 2025

Which, if implemented under the new administration, could provide relief for investment advisers, particularly smaller firms that already have to balance compliance with client service, marketing, and the other duties that go into running a firm.

Financial Planner 159

Financial Planner Compliance Commission Retirement 159

Abnormal Returns

DECEMBER 25, 2023

riabiz.com) DPL Financial Partners is seeing growth in commission-free annuity sales. investmentnews.com) Startup Arch wants to build a better private capital markets workflow. (linkedin.com) The biz Vestwell just raised a new $125 billion Series D. riabiz.com) MSCI ($MSCI) is buying Fabric Risk.

Financial Advising 289

Financial Advising Startup Commission Financial Advice 289

Abnormal Returns

AUGUST 15, 2024

hunterwalk.com) Home buying New home sales commission rules are coming into effect. (nytimes.com) Finance It seems the SEC will approve just about any ETF these days. ft.com) What VC returns look like in the real world. cnn.com) Home buying is going to get more complicated. wsj.com) Consumer spending Retail sales jumped 1.0%

Financial Advising 278

Financial Advising Commission Retail Sales 278

Abnormal Returns

MARCH 18, 2024

wired.com) Housing Austin's housing market is cooling off. wsj.com) How home buying is going to change with a new commission regime. IPOs Apple ($AAPL) and Google ($GOOGL) are exploring putting Google's AI on the iPhone. spyglass.org) A closer look at Reddit's risks. insights.finominal.com) Disruption of the Suez Canal is real.

Financial Advising 276

Financial Advising Commission Food Economy 276

A Wealth of Common Sense

JULY 12, 2024

Commissions still averaged 40 cents a share. Charley Ellis wrote a great book about the index fund revolution back in 2016. One of my favorite parts of the book is where Ellis looks at how Wall Street has changed in the past 50 years: MBAs were uncommon. PhDs were never seen. All trading was paper based.

Certification 142

Certification Commission Marketing Marketing 142

Abnormal Returns

NOVEMBER 2, 2023

Markets Bonds are now competition for stocks. ritholtz.com) November and December have been good months after a stock markete correction. cnbc.com) Is change finally coming to realtor commissions? carsongroup.com) Fund management Why it's hard for investors to quit Blackrock ($BLK). Then check out our weekly e-mail newsletter.

Advertising 264

Advertising Financial Advising Startup Commission 264

Abnormal Returns

MARCH 17, 2024

Markets Market valuations aren't that helpful in the short term. newsletter.abnormalreturns.com) Mixed media On the end of the 6% real estate commission. tker.co) The U.S. yield curve has been inverted for a record amount of time. ft.com) Strategy Why you can ignore all the magazine cover commentary. nytimes.com)

Financial Advising 288

Financial Advising Commission Valuation Media 288

Abnormal Returns

MARCH 21, 2024

bloomberg.com) New commission rules could drive an exodus of realtors from the business. calculatedriskblog.com) The market still expects cuts in June and July. (theatlantic.com) How much is a house worth if it is uninsurable? wsj.com) Economy Weekly initial unemployment claims are still at historically low levels.

Financial Advising 289

Financial Advising Commission Media Economy 289

Investment Writing

JANUARY 23, 2025

Here’s how she explained the lack of an apostrophe in farmers market: The market is used by the farmers, populated by the farmers, but generally not owned by the farmers. So it seems reasonable to conclude that you don’t use an apostrophe because the word farmers is there to identify the type of market.

Commission 98

Commission Marketing Marketing Investing 98

Financial Symmetry

FEBRUARY 20, 2025

stock market in its largest companies looked high compared to recent history. Today, some might say market concentration appears really high. of the index by market capitalization. The value side of the market, measured by the Russell 1000 Value Index, remains in stark contrast. market has, of course, more history.

Marketing 67

Marketing Marketing Valuation Commission 67

Nerd's Eye View

APRIL 26, 2024

Also in industry news this week: The Federal Trade Commission released a final rule that would ban most non-compete agreements, which could lead to an increasing number of non-solicit agreements (and, potentially, lawsuits regarding their enforcement) between financial planning firms and their advisors The Securities and Exchange Commission issued (..)

Financial Planner 246

Financial Planner Commission Communication Financial Advisor 246

Wealth Management

FEBRUARY 21, 2025

Corey Frayer, the newly installed director of investor protection at the Consumer Federation of America, also said the commissions approach could erode market trust.

Commission 166

Commission Marketing Marketing 166

Abnormal Returns

NOVEMBER 19, 2023

Markets Cullen Roche, "The worst narrative in finance is this idea that stocks generate 10%+." bloomberg.com) 30-year mortgages are to blame for the bifurcated housing market. nytimes.com) Home sellers in most countries don't pay a 6% realtor commission. disciplinefunds.com) Why you should believe in stocks for the long run.

Financial Advising 278

Financial Advising Commission Manufacturing Media 278

Nerd's Eye View

OCTOBER 28, 2024

But over the past 20 years, the shift from commission-based to recurring revenue (AUM and subscription fee) models has, for the first time, allowed advisory firms to begin to size and scale up.

Financial Advisor 146

Financial Advisor Tax Planning Financial Planning Planning 146

Abnormal Returns

MARCH 20, 2024

stock market has held up. financialducksinarow.com) How homebuying is going to change with a new commission regime. Podcasts Robin Powell talks with Ben Carlson about why the U.S. youtube.com) Barry Ritholtz talks with Jim O'Shaughnessy about the benefits of a quantitative investment approach. thewaiterspad.com)

Asset Allocation 278

Asset Allocation Retirement Commission Taxes 278

Nerd's Eye View

AUGUST 16, 2024

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that the Securities and Exchange Commission (SEC) announced that a total of 26 broker-dealers, investment advisers, and dually-registered firms agreed to pay combined civil penalties of almost $400 million for failing to maintain (..)

Financial Planner 246

Financial Planner Communication Retirement Commission 246