Finance executives will be closely watching how Biden handles the coming internal Democratic fight between centrists and progressives that threatens to increase regulation and dent profits.

The ongoing crisis offers the perfect time to focus on self-development and professional development.

If Joe Biden is the winner of Tuesday's election, a Republican Senate could make it more difficult to overturn Trump-era regulations and enact the Biden agenda that would most impact financial advisors.

Terrence Chalk used the alias 'Dr. Terrence Cash' to keep clients from learning about his criminal record and convinced retirees to invest their savings, which he used for his own expenses, according to the SEC.

Financial advisors don't see major disruptions to their clients or their practices despite the uncertainty of the election outcome.

The SEC Enforcement Division's annual report also detailed how the regulator had dealt with the enforcement ramifications of the COVID-19 crisis.

Six important takeaways for financial advisors should Joe Biden become the 46th president of the United States.

Critics worry that the latest rule changes will weaken investor protections by expanding the number of investors who could access the markets yet would be unable to sustain heavy losses.