Practice Management

Data from XYPN members shows that focusing on a specialized client niche is an accelerant to advisor’s revenue growth.

At FSI's 2019 Forum, SEC Chief Counsel of the Division of Trading and Markets Emily Westerberg Russell addressed how broker/dealers should think about conflict-of-interest disclosures, and whether the SEC would preempt more stringent state rules...

Attorneys general from seven states, including New York and California, along with the District of Columbia, argue that the SEC's rule doesn't protect investors as mandated under Dodd-Frank.

Talking with your clients about what they are going through helps build trust and rapport.