The Massachusetts commonwealth secretary’s Securities Division charged former NEXT Financial Group representative Charles Kulch with stuffing client accounts full of the high-risk, high-commission investments.

A hybrid examination would be a viable, if temporary, approach to comply with regulations while protecting the health and safety of examiners, branch employees and advisors. 

The SEC had previously revoked International Investment Group's registration as an investment advisor, and also obtained a final judgment requiring the firm to pay $35 million in disgorgement and prejudgment interest.

The technology to reinvent internships and interaction with firms is there, but it is on the practitioners, firms and academic community to make the possibilities a reality, argues FPA’s 2020 President Martin Seay.

In addition to in-person testing at Prometric sites, candidates may take the test remotely, if they live more than 50 miles from a testing center or have a health concern.

Change "client review" meetings into client checkups by letting them take more of the lead.

WealthManagement.com created this list of industry-related resources to help financial professionals understand systemic racism and white privilege. It is not exhaustive. Some of the organizations listed take donations.

The regulator is now taking online test appointments for the Series 7, the Securities Industry Essentials (SIE) and Series 6, as well as NASAA’s Series 63, 65 and 66.   

The data shows more than 80,000 jobs in the investment advice industry were 'retained' due to the small business loan assistance—but that number comes with a huge asterisk.