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BOB VERES BLOG

Where SIFMA and I Are In Total Agreement

I routinely hear from brokers affiliated with the brokerage firms, and their messages usually convey a certain degree of hostility.  Why (they will ask) …

Bob Veres E-Column: Tales of Regulatory Over-reach

Lately, I’ve been hearing all sorts of stories, anecdotally, about advisory firms having problems with regulatory examinations in ways that don’t make sense. 
One case …

MEDIA REVIEWS

Top Articles from our Professional Magazines

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MEDIA REVIEWS – February 8-15, 2017

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MEDIA REVIEWS – February 1-7, 2017

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