SEC Examiners Turn Up the Heat on Marketing Rule Compliance
By Melanie WaddellSEC's new risk alert shows examiners "will be undertaking a comprehensive approach," says attorney Issa Hanna.
June 08, 2023
Travel Outranks the Kids on Gen X Retirement Planning Priority ListSupport for parents ranks (far) below "I haven't thought about retirement expenses yet."
June 08, 2023
The Trends Innovative Advisors Are Talking AboutThe fastest growing firms "rely the least on referrals," says Michael Kitces, which is driving the growth of new marketing tools today.
June 08, 2023
3 Client Beliefs That Can Trip Up AdvisorsThese common cultural beliefs can be stumbling blocks in conversations with clients and prospects.
June 08, 2023
Former SEC Chair Jay Clayton: Regulators Can't Bow to TechWhile too much regulation is a bad thing, so is too little, argues former SEC Chair Jay Clayton.
June 08, 2023
Top 15 Cities Where High Earners Lose Major Buying PowerAn income of $250,000 or more doesn't go nearly as far in these cities.
June 08, 2023
House Passes Bill to Create Senior Fraud Task ForceThe Senior Security Act would direct the SEC to set up a task force on protecting older adults from scams.
June 08, 2023
LIMRA: Insurers Sold More Individual Life Policies in Q1Indexed universal life coverage was the star.