The FPA, IAA, CFP Board and others are asking Congress to reinstate the tax deduction, which was repealed in the 2017 tax law, as well as expand the number of taxpayers who could benefit from it.
COVID-19 caused many firms to put Reg BI compliance on the back burner. Here are three key lessons to help firms get compliant by June 30.
NASAA says the coronavirus has paved the way for fraudulent activity, especially in the private markets.
The news comes nearly a year after the Massachusetts commonwealth secretary filed a complaint against Stephen Querzoli, who was with the Philadelphia-based firm until 2018.
WealthManagement.com readers recently chose the top books that helped them the most in their investment careers. Give these classics a read during your self-quarantine, if you haven't already.
The SEC's work over the past 10 months with broker/dealers, advisors and regulatory agencies has prepared everyone for compliance by the end of June, Chairman Jay Clayton said today.
The pandemic is causing advisors to more actively manage against market volatility and recession risks, as well as navigate an influx of calls from worried clients, according to a new E*Trade survey.
