Practice Management

The model act is currently open for public comment until the end of the month, and if passed, it would be up to individual states to enact legislation.

The CFP Board's latest proclamation that it is going to finally get serious about enforcement rings hollow, says financial planner John Robinson.

Some retirement experts expressed surprise that the DOL's proposed exemption for fiduciaries included any expanded investor protections, but they also cautioned the changes lacked teeth.

Commonwealth Financial Network’s senior vice president of practice management on five areas of focus to boost a firm’s strength under stress.

Financial advisors weigh in on the difficulties faced by those in the entertainment industry and offer some advice.

The SEC charged Temenos Advisory and its CEO in July 2018 for putting $19 million of elderly clients’ retirement savings into four risky, illiquid private placements, without conducting the proper due diligence or disclosing the risks.

One law firm filed three dozen FINRA arbitration claims this week against 12 brokerages.

The Midland National Capital Income annuity is aimed at helping clients plan for unexpected health events that impact their ability to perform daily activities, such as bathing, dressing or eating.

Take a deep breath and strategically work through the comprehensive project plan.

Despite a legal challenge and other controversies, implementation for the SEC’s long-awaited Regulation Best Interest is here, and the agency is set to begin examinations and enforcement.