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  • Purchased Electives

  • $376,000 Arbitration Loss Opens Rare Window Into the Ken Fisher "Method"

  • 95% Of Advisors Say Their Richest Clients Are Perfectly Satisfied, But The Clients Disagree

  • AdvisorOne Conducts Advisor Poll Weighs In On Who Should Be Schapiro's Successor And What Should Be The SEC's Top Priorities

  • Advisory M&A Flattened Out Last Year And Last Quarter, But Custodians Say The Lull Was Temporary

  • An Open Letter To SEC Chair Mary Jo White: Please Modernize The RIA Testimonial Rule So That Consumers Could Rely On The Web To Connect Them With The Best Advisors

  • Are 9,000 Advisory Firms Going To Miss Thursday's ADV Filing Date?

  • Are You Really “Independent” Before You Have Your Own RIA?

  • BrightScope Announces New York City's Top 25 Registered Investment Advisor Firms By Assets Under Management

  • Building A Hybrid Practice From The RIA Side

  • Buried In The Newly Released 2011 Survey Of Trends In The Financial Planning Industry: Serious Challenges To The CFP Profession

  • Cerulli Report Says Wirehouse Market Share Continues To Erode And RIAs Are On The Short List Of Beneficiaries

  • Cerulli Warns Of "Warnings" Ahead For Already-Shrinking Wirehouses

  • CFP Board Hires New Lobbyist Who Formerly Served As Senior Counsel To House Financial Services Committee

  • Compliance Consultant Says New Form ADV Will Do Little To Improve Consumer Disclosure

  • Could The Shift In Broker Compensation Levels Indicate A Tipping Point Toward Independence?

  • Decisions On Fiduciary Standard And Regulator Of RIAs Delayed Officially

  • Don't Count Out The Wirehouse, Consultant Tells Fund Managers

  • Draft House Bill Shows Congress Is Leaning Toward An RIA SRO

  • Dually Registered Advisors Are More Complicated, But Are The Best Solution For Many Advisors Going Independent Or Considering Starting An RIA

  • FINRA Comes Up Short In Examination By Government Accountability Office

  • FINRA Seems Determined To Fulfill Its Business Growth Goals Despite Falling Membership Numbers

  • FINRA's Estimate Of Cost Of Establishing And Maintaining An SRO For RIAs Challenged By Coalition Representing RIAs

  • Growth In RIA Industry Outpaces Wirehouse Growth As Advisor Population Shrinks And Consolidates

  • Huntington Beach Advisor Accused Of Gross Inflation Of AUM

  • Hybrid RIA Washington Wealth Aggressively Hunting Disgruntled Branch Managers

  • If The Mutual Fund Store Is For Sale, Nobody Told Founder Adam Bold

  • In Age Of Social Media, How Important Is The FPA? How Important Is Any Trade Association In A Socially-Networked World?

  • LPL's Top Broker Breaks Away To Stay Ahead Of Competitors

  • NAIFA Backs FINRA Examination Of SEC-Registered Investment Advisers

  • New Fidelity Study Shows Advisory Teams Make Significantly More And Manage Almost Twice As Many Assets As Solo Practitioners

  • New Study Breaks Down The Industry To Show RIA Firms' Growth, Foreshadow Credit Suisse Layoffs

  • Pershing's Tibergien Cites Pros And Cons Of M&A In Interview With IN's Kelli Cruz

  • Pershing's Tibergien Sees Restructuring Of RIA Industry Similar To Accounting Industry

  • Private Equity Firm Buys A Piece Of $4 Billion Houston RIA

  • Research Roundup: What The Rise Of The $1.7 Trillion RIA Channel Means

  • RIA Advocate Opens Fire On Bloomberg "Expose" Of The Independent Channel

  • RIA Case Study: Why PayingMore For A CRM Can Ultimately Cost Less

  • RIA Organization Advizent Taking The Future Of Fee-Only Advice Into Its Own Hands

  • Richard Branson Has Words Of Wisdom If You're Thinking About Going Independent And Starting Your Own Business

  • San Diego RIA Launches "Wealth For Women" Program

  • Schwab Earnings Reveal Solid Growth In Both Advisory Services, Client Confidence

  • SEC Keeps Tinkering With Raising The Performance Fee Threshold

  • Should Financial Advisors Register With Google Places? And Do Google Ratings And Reviews Break Rules Prohibiting RIA Testimonials?

  • Small Advisory Teams Are Like Money Flows; They're Migrating To Where They Will Be Treated The Best

  • Small Firms Will Still Be Viable Even As Larger Independents Continue To Consolidate

  • State Of The Industry: Largest RIAs Managing More Assets As Consolidation Continues

  • TD Ameritrade Launches High-Profile Study To Find Its Own Answer To The Question Of Advisor Supervision

  • Texas, Other States Banking On RIA Deadline Extension

  • The Moral Compass Of The Financial Advice Profession Is Being Reset, As Fee-Only Advisors Are Tarnished Again By Scandal

  • Think Outside the Box and Negotiate a Better Deal

  • Wells Fargo Sees Significant Growth In Its Independent Channel And Shifts Leadership To Further Fuel It

  • When Do You Offer An Equity Stake In Your Business And How Do You Do It?

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You'll be emailed a discount coupon for $30 off the CFP® Ethics Class after signing up for A4A's $120 annual membership, featuring Fritz Meyer, Bob Keebler, and Craig Israelsen.
 

 

Free 1 CE Credit Class

 

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Receive a certificate of completion and 1 CE credit on-demand  anytime in the next seven days.

 

If you like the class, you’ll have the option to sign up for our Quarterly Financial History Course at a 25% one-year discount.