Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
How to Help Nervous Clients Now
By Andrew AzizInvestors don't want wishy-washy conversations about the markets; they want to stress test their portfolios.
July 27, 2022
SEC Hits JPMorgan, UBS, TradeStation for Identity Theft ViolationsThe three firms had deficiencies in programs to prevent customer identity theft, violating the SEC's Identity Theft Red Flags Rule, or Regulation S-ID.
July 27, 2022
8 Ways Advisor Clients Feel More ConfidentA Nationwide survey found advisor clients felt better about a number of financial matters.
July 27, 2022
CEO Shares 10 Lessons From 25 Years in Wealth ManagementSince his start at Merrill, PFI Advisors CEO Matt Sonnen has learned that not all is what it seems.
July 27, 2022
Fed Hikes 75 Basis Points Second Time, Signals Third is PossibleCriticized for misjudging inflation and being slow to respond, officials are now forcefully raising interest rates to cool the economy.
July 27, 2022
The New Rollover Rule Is Here: Are You Complying?Financial advisors and their firms must now adhere to these key requirements affecting retirement-plan rollover recommendations.
July 27, 2022
When Will We Finally Get a Spot Bitcoin ETF?SEC Commissioner Caroline Crenshaw told me where she still has major questions and concerns about the crypto market.
July 27, 2022
8 Reasons Stress Testing Your Client's Financial Plan Is a MustFor one thing, inflation can eat away at clients' portfolios, according to eMoney.