SEC Adopts New Ad Rule, Allows Client Testimonials
By Melanie WaddellForm ADV was also amended to require advisors to provide more information on their marketing practices.
December 22, 2020
Senate Passes $2.3T Package of Relief, Funding and Tax BreaksThe move follows passage in the House; President Trump is expected to sign the bill this week.
December 21, 2020
7 Predictions for Advisors & Firms in 2021From changes in recruiting deals to the continued growth of RIAs, M&As and other activities, here's what lies ahead next year.
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.