Senator Warns SEC Chief Not to Crack Down on Trading Apps
By Melanie WaddellThe SEC's mission "does not extend to protecting investors from themselves," Sen. Pat Toomey writes.
September 29, 2021
DOJ, SEC Charge Ex-Advisor With Bilking 3 Older ClientsThe ex-broker used the money to pay for luxury cars, vacations, private school tuition and a gold necklace, according to the authorities.
September 29, 2021
Wells Fargo Pushes Back Return-to-Office Date, AgainThis is the fourth time the bank has switched its return-to-office date, after initially planning to bring workers back on Sept. 7.
September 29, 2021
How a CPA Partner Can Boost Your PracticeAdding tax services can help advisors stabilize income, increase cash flow and give their practice more flexibility.
September 29, 2021
The History of the Financial Planning Profession, Part 1Let's take a look at how the profession has evolved so we can better understand where it's going.
September 29, 2021
SEC Taps Ex-CFTC Commissioner as General CounselThe move reunites Dan Berkovitz with SEC Chair Gary Gensler.
September 29, 2021
To Build Your Business, Build Your BrandA financial advisor has thoughts about why prospects might come to you.
September 28, 2021
'An Estate Tax Every Year': Ed Slott Blasts Plan to Tax Billionaire Wealth GainsA proposal to tax billionaires' unrealized capital gains has Biden's support, but it would be impractical to implement, Slott says.