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The testimony before the Senate Committee on Banking, Housing and Urban Affairs is likely to be Clayton's final appearance in Congress before leaving his role as SEC chair by year-end.
The Labor Department's potential fiduciary exemption faces review by an incoming Biden administration if it is not published in its final form 60 days before the inauguration.
John Gallagher and Mark Levin will be aligning with Gladstone Wealth Partners to establish Maverick Partners Wealth Management, which will be based out of Marlton, N.J.
Thinking he was covering all his bases, Tom Carvel of Carvel Ice Cream appointed no fewer than seven executors to manage his estate upon his death. Unfortunately, having so many hands in the pot turned out to be a recipe for disaster.
The letters are meant to help CFP professionals meet the duties for providing information to clients as required by the board's Code of Ethics and Standards of Conduct.
