Practice Management

The site is meant to act as a consolidated hub of information regarding the coronavirus’ effect on taxpayers.

Parties with meetings scheduled between now and May 1 will be able to reschedule or consider conducting the meeting remotely, according to FINRA.

The SEC will give advisors an extra month to file their Form ADV, both parts 1 and 2, in light of the business disruptions caused by the coronavirus pandemic, and left open the possibility of further postponement.

Broker/dealer trade groups, including the Financial Services Institute and the Securities Industry and Financial Markets Association, argue in support of the SEC's proposed rule in an amicus brief this week.

An RIA that chooses to spend its money on building a client portal is expending its resources on the wrong things, PFI's Matt Sonnen writes.

The relationship matters.