GOP Lawmakers Blast SEC's Gensler Over 'Unreasonably Short' Comment Periods
By Melanie WaddellA recent study finds private equity–backed RIAs had a 200% jump in the average number of misconduct incidents after the ownership change.
January 07, 2022
New CFP Board, FPA Leaders Assume Their RolesKamila Elliott is CFP Board's chair for 2022, the first Black American in this post; Dennis Moore is FPA president.
January 06, 2022
Expect Reg BI Enforcement Actions, DOL Rollover Crackdown in 2022Susan Schroeder, Phyllis Borzi and others discuss big developments afoot at the SEC and Labor Department.
January 06, 2022
RIAs Expect M&A Surge to Continue in 2022Survey respondents cited high valuations, aging of firm founders and proliferation of serial acquirers as reasons, DeVoe & Co. reported.
January 06, 2022
Ex-TD Ameritrade Exec Joins Robinhood: Tech RoundupAlso, SEI dealt a death blow to paper-based onboarding for indie advisors on its platform.
January 05, 2022
8 Things Advisors Should Know About Risk-Based Retirement Income GuardrailsThey combine the best parts of other spending strategies, according to Derek Tharp of Kitces.com.
January 05, 2022
Why Cash Flow Planning Is the Advice Clients WantGeneric retirement planning is no longer the answer.
January 05, 2022
'Great Resignation' Doesn't Need to Include AdvisorsHere's how the financial services industry can avoid loss of talent.