News & Blogs

Top stories from around the web. Read More The post Morning Brief: SEC Chief Opposes Short-sale Ban appeared first on AdvisorHub.... Read more »

What's the biggest challenge for those responsible for administrating their company's 401k plan while working from home? How is that challenge best... Read more »

The violent swings in global markets are spurring massive reversals in exchange-traded funds. Read More The post Big Reversals for S&P 500 ETFs... Read more »

The forgivable SBA loans could save some small businesses, or help support the bottom line of fee-based advisers The post Should fee-based... Read more »

Three of the advisors have been registered reps for over three decades, and two were previously at Merrill for more than 20... Read more »

Former Colorado broker gets permanent bar after failing to cooperate with probe into Stifel’s termination of him after eight years with the... Read more »

Legislators in at least three states -- New Jersey, Ohio and Massachusetts -- have proposed bills to require that insurers pay out... Read more »

Top stories from around the web. Read More The post Morning Brief: Debates Rage on Stock Outlook, Crisis Spending appeared first on AdvisorHub.... Read more »

New stimulus bill's impact on retirement plans, do you or don't you "trust," and the sun rises in the east on fees.... Read more »

Most popular stories from March 22 to March 28 Read More The post This Week’s Top: Morgan Stanley Outage, Firms Delay Comp Changes,... Read more »

California advisor takes reins of Walnut Creek office, Salt Lake City family team joins Ameriprise’s “franchise” channel. Read More The post UBS Hires... Read more »

In another sign of how wacky markets are, providers of niche exchange-traded products are luring more cash this month than many traditional... Read more »

Deferring to coronavirus challenges, Morgan Stanley delays grid changes that will lower some advisors’ pay, and Wells postpones fee it plans to... Read more »

Advisory firms headed into this year’s market turmoil with happy customers, according to J.D. Power's latest survey of investors' satisfaction with their... Read more »

An aging workforce may not be able to postpone retirement until valuations bounce back The post Advisers face new M&A reality after... Read more »

New SEC order eases requirement for advisory firms to explain why they need to delay ADVs The post SEC further extends filing... Read more »

Communicate with your clients immediately, whether it's with a call, a text or an email – or face the consequences The post... Read more »

Brandon Copeland created a new firm and failed to pay penalty The post SEC goes after barred Ohio adviser for violating order... Read more »

When doing what's in the best interests of the employees takes on an entirely new meaning. The post How Can a 401k... Read more »

What's not yet important, what totally unimportant, and what is important right now (but not for the reason you think). The post... Read more »

The robo-adviser says it will automatically pay bills and invest the rest in the most appropriate accounts The post Wealthfront takes another... Read more »

Jesse Rodriquez moves over from UBS, while R Carson leaves Edward Jones. Both join Wells Fargo Advisors Financial Network The post Advisers... Read more »

Company closes all its branches to the public through April 7 The post Schwab faces ‘unpredictable issues’ in work-from-home effort appeared first... Read more »

The fee-for-service planning group that specializes in mostly Gen X and Gen Y clients wants to help those affected by COVID-19 The... Read more »

With the large influx of employees working from home, telecommuting may be here to stay. Companies need to rethink how they’ve addressed... Read more »

The "State" of compliance, "Fiduciary 3.0." and "Now You See Them, No You Don't" Fees. The post FiduciaryNews.com Trending Topics for ERISA... Read more »

Now is the time for 401k plan sponsors to seize their fiduciary mantle and provide the guidance and tools plan participants need... Read more »

More rules coming, fiduciary sequel, and the truth about TDFs. The post FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 3/6/20... Read more »

An IPS must be thoroughly documented and clearly written and understood by all interested parties. Here's what to include. The post This... Read more »

Welcome back to the 170th episode of Financial Advisor Success Podcast! My guest on today’s podcast is Patrick Tucker. Patrick is the founder... Read more »

Last month Wells Fargo Advisors Financial Network LLC agreed to settle administrative charges brought by the SEC, and will pay a $35... Read more »

The Securities and Exchange Commission today announced an award of $450,000 to a whistleblower whose significant information helped focus an ongoing investigation... Read more »

Building strong client relationships is a high priority for all financial advisors, and one of the most effective tools for establishing and... Read more »

Can you spot what’s wrong in the image below? Please post your answer as a comment. I think you’ll quickly notice the problem.... Read more »

In response to the unfolding COVID-19 global pandemic (as the US this week surpassed China as the country with the most confirmed... Read more »

Today, the Securities and Exchange Commission announced that it is providing additional temporary regulatory relief to market participants in response to the... Read more »

The Office of Hearing Officers (OHO) has postponed hearings of Disciplinary Proceedings scheduled through April with the exception of pending Expedited Proceedings,... Read more »

FINRA has decided to administratively postpone all in-person arbitration and mediation proceedings scheduled through May 31, 2020. If you have an in-person... Read more »

We deal in facts and figures; no question about that. However, as we cope with the business fallout from COVID-19 (aka coronavirus)... Read more »

What incredible times we are living through right now.  About six weeks ago here in the United States all seemed quiet and... Read more »

In the midst of the global coronavirus pandemic, people around the world are experiencing tremendous stress and anxiety, and financial advisors are... Read more »

With a market decline of nearly 30% in just a few weeks as the coronavirus pandemic expands and amidst eye-popping daily market... Read more »

Today, the Securities and Exchange Commission announced that it is extending the filing periods covered by its previously enacted conditional reporting relief... Read more »

Having a hard time focusing on work? There’s so much to think about with Covid-19 and the market decline. When I feel... Read more »

The Securities and Exchange Commission today announced charges against Justin W. Keener d/b/a JMJ Financial for failing to register as a securities... Read more »

The Securities and Exchange Commission today announced awards totaling over $570,000 to two whistleblowers who provided significant information and assistance that helped... Read more »

The coronavirus, COVID-19, has uncovered flaws in many financial planners’ disaster recovery plans, and even normal business plans (if they have them.)... Read more »

Welcome back to the 169th episode of Financial Advisor Success Podcast! My guest on today’s podcast is Alexandra Levi. Alex is the... Read more »

This guest post comes from Andy McMorrow, a longtime financial marketer who has inspired some of my own blog posts. I’m glad... Read more »

The Securities and Exchange Commission today announced temporary flexibility for registered funds affected by recent market events to borrow funds from certain... Read more »

The Securities and Exchange Commission today announced an award of more than $1.6 million to a whistleblower whose information tipped the agency... Read more »

With the coronavirus pandemic triggering widespread quarantines and social distancing, many advisory firms are implementing measures to set up their operations as... Read more »

The Securities and Exchange Commission today announced that it is providing conditional regulatory relief for registered transfer agents and certain other persons... Read more »

The U.S. Securities and Exchange Commission noticed for immediate effectiveness a proposed rule filing submitted by New York Stock Exchange LLC (NYSE)... Read more »

On March 2, Chronos Group, a Cronos Group, global cannabinoid company with international production and distribution announced that it was unable to... Read more »

The Securities and Exchange Commission today announced that it has obtained an asset freeze and other emergency relief to halt an ongoing... Read more »

Enjoy the current installment of “weekend reading for financial planners” – this week’s edition kicks off with the news that the Federal... Read more »

Dear Clients, Students, Colleagues, Friends, and Family:One of the best articles I’ve read about the potential impact of the Coronovirus, and explaining why “social... Read more »