Practice Management

The two cases mark the first actions the regulator has taken against brokers for cheating during remote testing.

The SEC charged Dean McDermott and his firm, McDermott Investment Advisors, for investing clients’ funds in unit investment trusts with extra charges when more affordable options were available.

SEC Commissioner Caroline Crenshaw said single-stock ETFs posed 'another, perhaps greater, risk' for investors than leveraged and inverse ETFs, and believed it would be hard for advisors to recommend such products while meeting their Reg BI...

Carlos Kepke, who advised Robert Smith, is one of many enablers that help Americans hide untaxed billions abroad, according to the IRS.

It goes well beyond being able to reboot the router.

Some recent trends and ideas for advisors looking to harness the benefits of customized client engagement.

When you put the health and overall well-being of your workforce first, top-flight recruiting and all-important retention take care of themselves.

Five tips to help clients rework their plans for a post-COVID world.