AdvisersGiveBack.org wants to help volunteer advisors deliver personalized financial plans to individuals who arguably need it the most.

The proposal is based on the NAIC's model regulation intended to align with Reg BI. But if a Biden administration urges changes to the SEC rule, how will states approach amending their own annuity regulations?

Regardless of what the pandemic will bring, or not bring, in 2021, the wealth management industry has been changed forever.

A thoughtful, durable succession plan will increase the value of the enterprise for all concerned, from the founder to her internal successors, the entire support staff, and clients.

The SEC claims that Eugenio Garcia Jimenez Jr., an unregistered investment advisor, misappropriated $7.1 million of funds belonging to the Municipality of Mayagüez, Puerto Rico.

Thomas A. Sporkin will join the board in January as the managing director, enforcement, and will be tasked with modernizing the board's detection, investigation and prosecution processes.

The acquisition is part of FMG’s plan to become an end-to-end digital-marketing platform for financial advisors.