The change means reps will take a portion of the regulatory agency's continuing education program once a year, as opposed to every three years.

Buyers hoping to capitalize on distress may only have a small window of time to strike as long-term prospects for troubled assets begins to brighten.

Avantax recently added new CPA referrals for advisors at the IBD as well as those affiliating under a new, full-time employee model.

Speaking at the Consumer Federation of America's Financial Services Conference, the commissioner also said more Reg BI data is needed to gauge its effectiveness, but a strong fiduciary standard was critical.

Diachok’s nephew, Ryan Diachok, current president of Geneos, has taken over the CEO duties.

Stephanie Avakian has served as the head of the division for four years, and oversaw investigations into Wells Fargo's supervision of investment advisors as well as the Share Class Selection Disclosure Initiative.

The acquisition, which comes in the wake of the SECURE Act, will bring more retirement services to Raymond James’ 8,200 advisors.

The center will be offering nearly $500,000 across 100 scholarships, 48 of which are new. That is a record number since the program was started in 2016.