SEC Issues New Warning on Marketing Rule Compliance
By Melanie WaddellA risk alert points to missteps advisors are making in testimonials and endorsements as well as third-party ratings.
December 16, 2025
Most Believe Congress Has Broken Social Security Promises: CatoA new research report offers a comprehensive look into Americans’ views on the federal insurance program.
December 16, 2025
5 Things for Advisors to Know About the Health Insurance Subsidy RumbleThe most important: Clients under 65 who pay for their own coverage face some uncertainty.
December 16, 2025
10 Books That Spark Interesting ConversationsIt's party season. You will meet people from many walks of life. What will you talk about?
December 16, 2025
Bob Doll Grades His 10 Predictions for 2025Doll sees a "tougher year to make money" in 2026, with valuations falling.
December 16, 2025
BD to Pay $150K Over L Bond Recommendations to SeniorsKingswood Capital, FINRA says, failed to supervise a rep's sale of a high-risk investment from GWG Holdings.
December 16, 2025
Osaic Taps Ex-Raymond James Exec as PresidentShannon Reid will lead advisor recruiting, retention and engagement initiatives while partnering across the organization.
December 16, 2025
What It Takes to Wow Ultra-Wealthy ClientsMorgan Stanley’s Valerie Wong Fountain oversees a curated platform of more than 100 specialty UHNW service providers.