See the latest on the Wealth Management Industry including M&A activity, diversity and inclusion and RIA updates.
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The association's new model rule would require investment advisor representatives to complete continuing education, but some legal experts worry about a 'patchwork' of mandates.
The regulatory agency originally planned to resume arbitration and mediation proceedings at the end of January, but they can now proceed only via Zoom or teleconferencing.
Advisor Mac Gardner created a fintech competition to help with his financial literacy app, inspiring a new technology track in the financial planning curriculum at the University of South Florida.
The proposal is based on the NAIC's model regulation intended to align with Reg BI. But if a Biden administration urges changes to the SEC rule, how will states approach amending their own annuity regulations?