FINRA moved forward on its planned Comprehensive Automated Risk Data System (CARDS) on Tuesday, issuing a regulatory notice that outlines plans to implement the database initiative in phases...

Brokers and firms could see a regulatory proposal on FINRA's planned Comprehensive Automated Risk Data System (CARDS) initiative as early as next month. And while there are still concerns about the regulator's ability to secure the...

Many advisors look to grow by buying a practice. But securing financing can be tough for the average advisor. For lenders, the decision is often subjective, said Steve Smits, general manager of Live Oak Bank, during the Financial Services...

When thinking strategically about your career, no matter what stage you’re at,  keep in mind the end goal should be to realize the value of your life’s work. Essentially, your retirement options fall into two categories...

At its core, your human capital strategy should align your employees’ motivation and performance with the firm’s goals—and inspire everyone to work cooperatively toward their fulfillment.