Practice Management

The Labor Department unveiled its latest version of a fiduciary rule on Tuesday, with supporters arguing the proposal largely fell in line with their hopes. Industry groups warn of its negative impact on advisors and clients.

Taking a strategic approach to insurance is one possible answer to the call for organic growth.

The modern workplace requires financial firms to move with the times.

President Biden will announce the proposed rule Tuesday afternoon. It will include amendments concerning rollover recommendations, according to administration officials.

Former rep Sidney Lebental is citing FINRA’s legal sparring match with Alpine Securities to halt disciplinary proceedings against him. Meanwhile, FINRA has responded to Alpine’s allegations.

The bank alleges Daniel Sutton violated a prior agreement when accessing privileged client information before resigning and joining Commonwealth.