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While many courts and private arbitration forums have already opened, FINRA continues to postpone in-person arbitration, keeping investors from recovering their losses, PIABA argues in a recent letter.

Advisors will have to take the good with the bad when it comes to using client testimonials—but they can be strategic.

Many advisors who feel the status quo no longer serves them—but ultimately want independence—are opting to make an interim move rather than wait.

In an industry that is constantly disrupted, mental elasticity is incredibly important.

The changes reform advocates seek would require U.S. family offices to register as investment advisors and publicly report holdings on a quarterly basis.

Alex Oh, who joins from law firm Paul, Weiss, Rifkind, Wharton & Garrison, replaces Stephanie Avakian, who stepped down from the role in December after a four-year tenure under the Trump administration.

When there is a lot of negativity in the news cycle, it can create opportunities for client acquisition.