The SEC chairman also introduced a new website for clients to assist them in reading their Form CRS, and said advisors should focus on ensuring rollover recommendations are sound.

The finalists for the 2020 “Wealthies” include 155 companies across 73 categories to be recognized this year at a live, digital awards ceremony.

The state securities commissioners are making a mistake mandating state-registered advisors adhere to the SEC's June 30 deadline to complete the form, according to securities attorney Max Schatzow.

More than eight in 10 advisors (81%) believe clients with a financial plan had less discomfort and anxiety during the market volatility, according to an eMoney survey.

The SEC charged Nashville advisor Frederick Stow for defrauding two seniors, one a World War II veteran.

TD Ameritrade Institutional launches a new matching tool to help advisors find more and diverse talent.

Smaller firms may face challenges in broadening their practices, but they also have a unique advantage: a great deal of control over their direction.

Whether it be timidity, fear or concern that their words may not be taken as they intend, many advisors aren't comfortable joining in the national conversation. But staying silent may not be good for business.