Regulation and Compliance issues for Wealth Professionals can be challenging to navigate especially when the SEC is involved. Catch the latest news and analysis on compliance updates that impact financial advisors.
Coeur d'Alene Resort, Idaho: “I really enjoyed what you had to say on social media marketing,” began Ashley in an uneasy tone as I exited the ballroom. She continued, “But I don’t understand how I should be using social media when the markets are...
The Certified Financial Planner Board of Standards has decided that applicants for the coveted CFP mark must take a controversial 45-hour “capstone” course, starting next year, before being allowed to sit for the certification exam...
The independent b/d industry successfully lobbied to amend a bill recently introduced in California that would prohibit the “willful” misclassification of independent contractors who fit the definition of an employee...
A recent bill that surfaced in California may result in some independent contractors being reclassified as employees. Could the IBD model be under threat?
