Focus your end-of-year conversations on asset location, client experience and responsible trading.

This time of year is the perfect opportunity for advisors to learn a bit more about their clients.

According to the commission, John Marques raised nearly $7.9 million and generated $824,000 in commissions from allegedly recommending and selling unregistered securities from the Florida-based company.

Don’t let fears of higher prices derail your clients’ finances.

The firm will pay more than $16 million after the SEC argued 1st Global Advisors recommended certain mutual fund share classes for clients when more affordable options were available.

Industry experts share their insights on what 2022 might bring.

The commission’s Standards of Conduct Implementation Committee urged advisors and firms to be concise when writing their relationship summaries and to avoid unnecessary legal jargon.

Advisors who want to reposition their firms to focus on wealthier households have their work cut out for them.