SEC to Ramp Up Reg BI Exams in January
By Melanie Waddell"Most advisors don't have a process in place to cover what SEC Reg BI requires" when it comes to retirement rollover options, says Ed Slott.
December 21, 2020
How COVID-19 Is Hurting Workers' Retirement ProspectsDue to the pandemic, 33% of workers have taken a loan and/or withdrawal from qualified retirement accounts, or plan to do so, a new poll finds.
December 20, 2020
Congress Strikes $900B Stimulus DealThe package includes a new round of jobless payments and $284 billion for small businesses via the Paycheck Protection Program.
December 18, 2020
Cetera Hit With $1M Fine Tied to Dually Registered RepsFINRA says supervisory systems and processes were lacking for the reps, who managed over $80 billion in client assets.
December 17, 2020
Offering Medicare Guidance Gives Advisors HeftThere is a growing need to help clients navigate healthcare options as part of a holistic service experience.
December 17, 2020
Fusion Financial Founders to Provide 'White Glove' IT Services for RIAs: Tech RoundupAlso, Broadridge appoints a chairman for its LTX trading platform.
December 17, 2020
The Biggest News of 2020, and How It Changed EverythingA look at COVID-19, responses to it and how these developments rippled across the financial markets, government and other sectors.
December 17, 2020
How to Tackle 4 Hurdles to Your SuccessIt may seem counterintuitive, but making lists of what you want to achieve can actually hamper what you attain.