Practice Management

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Highlights

Schwab, Blackstone Among Firms Paying $63M To Settle SEC Texting Charges

Jan 13, 2025

The regulator found firm employees were using unapproved texting apps for business and failing to archive the communications. It follows...

Robinhood to Pay $45M to Settle SEC Claims

Jan 13, 2025

Two Robinhood entities “failed to observe a broad array of significant regulatory requirements,” according to...

The Diamond Podcast for Financial Advisors 2024 recap

The Diamond Podcast for Financial Advisors: Insights on Goals, Growth, and Building Something Great

Jan 09, 2025

A compendium of advice extracted from 48 episodes of the 2024 season of the Diamond Podcast for Financial Advisors.

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Edward Jones Will Pay $17M to Settle State Regulators’ Investigation

Jan 08, 2025

The investigation, which spanned four years and involved 14 state regulators, revolved around how the firm supervised the transferring of brokerage account assets into advisory accounts.

Cetera President Begins Term as FSI Board Chair

Jan 08, 2025

The Financial Services Institute also brought on four new board members, including Commonwealth Chief Regulatory Affairs Officer Robert Molinari and Broadridge Financial Solutions President Chris Perry.

A Life Insurance Agent’s To-Do List for 2025

Jan 08, 2025

Tactical refinements for a more productive year.

The Healthy Advisor: Betrayal on the Dock and the Road to Financial Independence With Michelle Begina

Jan 08, 2025

At 17 years old, Michelle Begina found out her parents used her college fund to buy a yacht. The decisions she made after stepping off that dock have shaped the woman she is today.

The Challenges of Running an Independent RIA

Jan 07, 2025

Far too many advisors attempt to control every aspect of their practice in a vain effort somehow to deliver a better client...

Practice Management

See the practice management strategies that wealth management professionals are using to help their clients. For more practice management tips to help your business, check out our free weekly e-newsletter. Join today.

See the practice management strategies that wealth management professionals are using to help their clients.
For more practice management tips to help your business, check out our free weekly e-newsletter. Join today.