SEC Chairman Jay Clayton said he was 'cautiously satisfied' by Regulation Best Interest's rollout thus far and said that he was seeing harmonization in the customer experience in both brokerage and fee-for-service models.

Many regulatory analysts think it is unlikely that the SEC would undergo yet another rule-making process, especially considering how long it took to design and implement the current rule. But in a 'blue sweep,' Congress may act.

It’s hard to develop a strong personal bond with a prospect over videoconferencing.

The November CFP exams will be offered remotely, in addition to the brick-and-mortar centers administered by Prometric.

The College for Financial Planning released a small study indicating advisors have grown their client base during the pandemic.

Three years after Morgan Stanley and UBS left the Protocol for Broker Recruiting, advisors are wondering if, and when, Merrill Lynch will follow suit.

A new survey finds that younger HNW clients interact with digital ads more than older ones.