SEC Seal
SEC Fines Firms $81M For Off-Channel Communications Lapses
Feb 09, 2024
The settlements with Northwestern Mutual, Guggenheim and Oppenheimer & Co. mirror other allegations concerning retaining electronic communications.
Diamond Podcast for advisors Barry Mitchell
The Diamond Podcast for Financial Advisors: An $850M UBS Breakaway Story
Feb 08, 2024
Former UBS advisor Barry Mitchell discusses why he messed with success in the quintessential narrative for financial advisors around how to think about change, due diligence, the transition process and more.
college student
Can You Pass the Financial Planning Challenge?
Feb 08, 2024
Test your skills against those of student teams.
Texas Tech FPA Challenge team golf outing
What Is the FPA Financial Planning Challenge?
Feb 08, 2024
Inside the college competition that gives students a taste of the challenges advisors face.
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Sponsored Content
Tech Insights: Navigating the Future of Wealth Management
Feb 08, 2024
Insights from industry leaders on the dynamic technology landscape of wealth management.
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Lawmakers Reintroduce Bill Banning Forced Arbitration
Feb 06, 2024
The “Investor Choice Act” would prohibit b/ds and advisors from mandating client arbitration. Additionally, PIABA and other investor advocates are pressuring the SEC to ban the practice.
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