April 1, 2009

Cover Story

When Bad Firms Happen to Good Advisors 

Apr 1, 2009 12:00 PM, By John Churchill

An alleged Ponzi scheme conducted and contained among a few top executives at The Stanford Financial Group was not in the plans for the 200-plus financial advisors who moved their careers and their clients’ fortunes to the firm. Could it have been avoided?...

Features

Caught In The Crossfire 

Apr 1, 2009 12:00 PM, By Christina Mucciolo

Proposed legislation aimed at restricting the use of independent contractors for labor and tax purposes is back on the federal to do list. Independent broker/dealer executives are worried the legislation could put them out of business...

Bulking Up 

Apr 1, 2009 12:00 PM, By Halah Touryalai

Regional broker/dealers are raking in wirehouse brokers who like the full-service model, but not the drama unfolding at their Wall Street firms. The recruiting bonanza is changing the economics of a channel that has been shrinking for years...

Investing Special Report: Mutual Funds

In Praise Of Market Timing 

Apr 1, 2009 12:00 PM

There was not much to celebrate in 2008 and very little so far in 2009. One thing we did learn in spades recently: In down markets, asset classes tend to be correlated...

Heretics in the Church of Diversification 

Apr 1, 2009 12:00 PM, By Stan Luxenberg

When everything is overvalued, chucking whole asset classes is not the same thing as market timing...

Bright Spots 

Apr 1, 2009 12:00 PM, By Stan Luxenberg

Not every fund is suffering huge cash outflows...

Luck Versus Talent 

Apr 1, 2009 12:00 PM, By Nate Wendler

Much has been made of Miller’s recent underperformance. Is Miller a genius who has temporarily gone cold? Or was he just lucky—for 15 years?...

A Vicious Circle 

Apr 1, 2009 12:00 PM, By Stan Luxenberg

Losses beget redemptions, which can beget more losses—and more redemptions...

The Practice

Trust is Sexy Again 

Apr 1, 2009 12:00 PM, By Anne Field

With the market and Wall Street’s reputations in tatters, clients are fleeing former high-flying financial powerhouses and flocking to banks and trusts - those boring firms of yesteryear...

Roth to Riches 

Apr 1, 2009 12:00 PM, By Kevin McKinley

With tax rates bound to go higher in coming years, it may make sense for your clients to convert part of an IRA to a Roth...

You Don't Know Jack! 

Apr 1, 2009 12:00 PM, By J. Phil Buchanan

Niche marketing involves much more than just picking a niche to target...

The Inner Game: Prospecting Alert 

Apr 1, 2009 12:00 PM, By Matt Oechsli

It's the perfect time to prospect, plus it will get you out of your defensive rut...

Career Moves: Take the Best, Leave the Rest 

Apr 1, 2009 12:00 PM, By Mindy Diamond

Switching firms can be a great time to get rid of your most troublesome - and least lucrative - clients...

Street Legal: Let’s Go to the Tape! 

Apr 1, 2009 12:00 PM, By Bill Singer

There is no hitting pause once the Taping Rule starts...

Endpiece: The Puzzler #13 

Apr 1, 2009 12:00 PM, By John Kador

Think you’re smart? Try these brainteasers that recruiters use in actual job interviews...

Reports

Naughty Or Not: SEC to Contact Your Clients 

Apr 1, 2009 12:00 PM, By John Churchill

In an effort to catch future Madoffs before they strike, the SEC would like to ask your clients a few questions. Over-the-top government meddling or simply a good idea?...

Blotter 

Apr 1, 2009 12:00 PM, By Kristen French

Decoy Client Sometimes a fake client is an advisor's best friend, unless, that is, the advisor gets caught...

Charticle: The Art Of Pricing Illiquidity 

Apr 1, 2009 12:00 PM, By Nate Wendler

More writedowns on the way...

Comings & Goings 

Apr 1, 2009 12:00 PM

The Securities and Exchange Commission hired Julie Zelman Davis as deputy director of the agency's Office of Legislative and Intergovernmental Affairs...

Forbes Billionaire Indicator 

Apr 1, 2009 12:00 PM, By John Aidan Byrne

For many of the staggeringly wealthy types tracked by the Forbes list, 2008 sucked...

Cold Call 

Apr 1, 2009 12:00 PM, By David A. Geracioti

Chad Coe, Deerfield, Ill. Coe Financial Group, First Allied...

Correction 

Apr 1, 2009 12:00 PM

In our January cover story about how the credit crunch had dampened RIA M&A activity, we said that 20 percent of National Financial Partners' acquired...

Blogs & Opinion


Get the latest from Registered Rep. Editor-in-Chief David A. Geracioti on his blog Von Aldo.

Get the latest from Registered Rep. Managing Editor Kristen French on her blog The Reformation.

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In This Issue: September 2010

Cover Story

Outgrowing The Series 7

When the 7 becomes more of a burden than a benefit.



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