The deluge of information available about investing has driven many young people to gravitate toward the largest, loudest and most popular financial influencers on various message boards and online video channels.
To fulfill our mission of expanding access to financial advice to all corners of the country, our membership and our profession must reflect the makeup of our overall society.
The Department of Labor's withdrawal of a Trump-era rule has added to advisers' confusion about working as independent contractors, a model that benefits them and their clients.
Finra has allowed fully remote inspections during the pandemic, and the industry is now encouraging the regulator to make the temporary adjustments into long-term changes.
For independent advisory firms and advisers, the Biden administration’s approach to regulation will be among the most consequential outcomes of the November elections.
The challenges of the pandemic were magnified by the implementation of the SEC's Reg BI
Proposed Labor Department amendments to the Fair Labor Standards Act and pending legislation in the Senate are the latest challenges in this area
Taxes on the industry, fiduciary rules and independent contractor status are among the regulatory issues at the state level
Two areas for further improvement are the measure's disclosure proposal and its stance on rollovers
Reg BI should serve as a ‘true north’ for state officials and other regulatory agencies that are working on their own standards
