SEC Warns Advisors on Ad Rule Compliance
By Melanie WaddellUntil firms transition to the amended marketing rule, advisors "need to remain compliant with the previous advertising and cash solicitation rules," said attorney Lundy.
March 25, 2021
Sen. Bernie Sanders Introduces Estate Tax BillThe bill raises rates, lowers exemptions and adds higher tax brackets for larger estates.
March 25, 2021
Pershing, Orion Deepen Integrations: Tech RoundupAlso, CircleBlack added a former Envestnet executive, and Smarsh launched applications for Zoom.
March 25, 2021
Idaho and North Dakota Adopt Annuity Sales Standards UpdatesVirginia's update is still in progress.
March 25, 2021
3 Ways to Be a Great Remote ManagerEven with new technology and new realities tied to working from home, financial advice is still a people-oriented business.
March 25, 2021
Integrity Marketing to Acquire Big Annuity DistributorIn 2020, Broker International placed $3.5 billion in new annual premiums.
March 25, 2021
How Crises Create Waves of Change in Financial ServicesThe pandemic is the latest example of why wirehouse advisors are moving toward independence.
March 25, 2021
Nonprofits and the Financial AdvisorIf you help donors with charitable giving, maybe you can help recipients, too.