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Sometimes It Takes a Crisis—Is It Time to Tweak Your Business Model?
Apr 20, 2020
It makes no sense to be working harder than ever for clients but be paid less.
SEC Settles With Merrill, Two Others Over Share Class Conflicts
SEC Settles With Merrill, Two Others Over Share Class Conflicts
Apr 20, 2020
The orders will be the last in the commission’s Share Class Selection Disclosure Initiative, which returned more than $139 million to investors.
SEC Headquarters
XYPN Submits Final Brief in Suit Challenging Reg BI
Apr 15, 2020
Next, judges in the 2nd U.S. Circuit Court of Appeals will hand down a ruling in the group's case against the SEC. A favorable decision for the network could strike down Reg BI and lead to improved consumer protections.
Transparency with Diana B podcast
Transparency With Diana B.: Life in Lockdown During COVID-19
Apr 15, 2020
U.S.-based financial planner Hui-chin Chen was in Saint Lucia, where her husband was stationed for work, when the pandemic locked down the country, stranding her abroad. That may seem ideal, but it adds complications as she struggles to stay sane...
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Give Your Remote Work Environment a Security Checkup
Apr 14, 2020
While you may feel confident with cybersecurity in the office, home is likely less secure by default.
cramped home office
NASAA Moves Forward With CE Requirement for Investment Advisor Reps
Apr 14, 2020
If states don't adopt the rule on a uniform basis, it could create a patchwork of requirements that investment advisor reps have to deal with.
Corporate Responsibility During the COVID-19 Crisis
Corporate Responsibility During the COVID-19 Crisis
Apr 14, 2020
We need to see hands raised, not hands out.
A woman telecommutes from her home in Paris with her daughter playing at home instead of being in school due to office and school closures in response to the Coronavirus pandemic in March 2020.
How Estate Planners Are Adapting to Working During a Pandemic
Apr 13, 2020
Practicing remotely has been a challenge for some.
Broker/Dealers on Recruiting in a Virtual World
Apr 10, 2020
After the crisis abates, a lingering reluctance to travel, combined with better meeting technology, may forever alter the broker/dealer recruiting process.
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