Practice Management

In addition to in-person testing at Prometric sites, candidates may take the test remotely, if they live more than 50 miles from a testing center or have a health concern.

Change "client review" meetings into client checkups by letting them take more of the lead.

WealthManagement.com created this list of industry-related resources to help financial professionals understand systemic racism and white privilege. It is not exhaustive. Some of the organizations listed take donations.

The regulator is now taking online test appointments for the Series 7, the Securities Industry Essentials (SIE) and Series 6, as well as NASAA’s Series 63, 65 and 66.   

The data shows more than 80,000 jobs in the investment advice industry were 'retained' due to the small business loan assistance—but that number comes with a huge asterisk.

Cash might be king but accepting cash-heavy deals now may come at the opportunity cost of more options in the future.

Our profession is overwhelmingly white and male both by design and practice, which means that it needs to change.

The SEC charged Abra and Plutus Tech with offering and selling security-based swaps to investors that were not properly registered, and committing these swaps outside proper securities exchanges.