Practice Management

Start raising the bar with yourself—your team will follow.

FINRA claims the firm was late an average two years in disclosing 89 internal reviews or allegations of misconduct over a six-year period.

While there’s nothing wrong with wanting it all, this can trap advisors in inertia, waiting for a scenario that may never exist.

Taking stock of how you're using Facebook in your business.

If the latest lawsuits challenging Reg BI are successful, that could send the Department of Labor back to the drawing board in its effort to recraft a fiduciary rule for ERISA accounts.

The agency will revisit its 'rules that were adopted in the absence of a best interest standard,' said FINRA head Robert Cook.

The network, founded and led by Michael Kitces and Alan Moore, filed suit in New York's Southern District, claiming the SEC's Reg BI would give an unfair competitive advantage to brokers over registered investment advisors.