Subscribe

NASD: Yer outta dere!

With criticism on the rise about mutual fund advertising, the gatekeepers who review those ads want investors to…

With criticism on the rise about mutual fund advertising, the gatekeepers who review those ads want investors to know that they are pounding the beat.

Officials at the National Association of Securities Dealers say that at least a third of the ads they see are bounced back to fund companies for fai

Subscribe or log in to read the rest of this content.

Learn more about reprints and licensing for this article.

Recent Articles by Author

Advisers helping clients talk to their children about money

Resources help parents share appropriate financial lessons with kids from six to 16.

Waning revenues may mean more fees

Advisers could face new charges for services such as practice management and technology.

Independent broker-dealers take aim at the next generation of clients

Millennials, robo-advice and female clients top the IBD agenda.

Client demand for simpler technology challenges independent broker-dealers

Smart devices and programs are giving way to demand for simplicity.

Getting it down on paper

A written succession plan is complex, with many decisions feeding into the final product.

X

Subscribe and Save 60%

Premium Access
Print + Digital

Learn more
Subscribe to Print