Practice Management

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The resolution puts pressure on the SEC to collaborate more with state securities regulators, especially on matters of investor protection.

Successful financial advisors know what their clients really think about them. Period. With that in mind, we talked to Katherine Wertheim, a fund-raising consultant for nonprofits in Ventura, Calif., about her experiences as a client.

The Financial Planning Association, whose membership includes thousands of CFPs, wants the CFP Board to delay enforcement to coincide with new SEC rules.

Model FA's new site includes a blog and podcast series with financial planners and experts on how to build and thrive as independent advisor or firm in the industry.