Guess Who Put The “E” In “ETF”

By | October 25th, 2017|Advisor Insights|

Since October is the only time of the year when each of the "Big Four" professional sports leagues schedule games, you may have missed the trigentennial anniversary of “Black Monday”. By way of reminder, it was thirty years ago, October 19, 1987, when the Dow Jones Industrial Average plunged 508 points -- a mind-boggling 22.6% [...]

Regulator, Don’t Manage Thyself

By | October 9th, 2017|Advisor Insights|

By way of background, the National Association of Securities Dealers – the NASD – was founded in 1939 to oversee the behavior of brokerage firms under the SEC’s watch. In 1971, the self-regulatory association, much to the dismay of its spread-happy member firms, launched the industry’s first electronic stock quotation system: The National Association [...]