Practice Management

Besides providing a compliance-friendly means for deploying advisor-created content, Lead Pilot ranks clients based on their interaction with marketing materials.

The Democratic candidate for President also proposed a 0.1% tax on all financial transactions as part of his campaign's financial reform proposals.

The shift to a compliance-driven environment in the brokerage firms is leaving advisors at all levels vulnerable in ways they never were before.

Your time is a rare and valuable resource—so start using it to your full advantage.

Expanded enterprise data management capabilities are a must.

Insurance regulators overwhelmingly approved revisions to annuities guidelines, aligning them with the SEC's Regulation Best Interest rule.

Taxing virtual currencies has the potential to affect millions of taxpayers—of all ages.

The latest Reg BI guidance addressed whether clients can 'waive' the rule's protections, whether affiliated firms can submit separate CRS forms, and whether firms have to build entirely new systems and processes to be in compliance.