RIAs worry that they will be at a disadvantage if they are required to disclose the emergency payroll loans while FINRA-regulated brokers are not.

The former UBS advisor on how the benefits of a fiduciary obligation to clients, as opposed to corporate shareholders, is made even clearer during times of crisis.

During times of crisis, top performers keep hiring, closely monitor their expenses, continue growing their client base and invest selectively, according to FA Insight.

As testing sites remain closed due to COVID-19, the CFP Board has rescheduled its July exams to September.

We can’t let this virus hinder us from further elevating the profession and advocating on federal and state policies that could influence the trajectory of the field, says Martin Seay, FPA president.

The task force is headed by former FBI Special Agent Greg Ruppert and has already made dozens of referrals to the SEC about potentially fraudulent activity.

Videoconferencing may be more physically draining than face-to-face meetings.