Practice Management

SEC Chairman Jay Clayton said he was 'cautiously satisfied' by Regulation Best Interest's rollout thus far and said that he was seeing harmonization in the customer experience in both brokerage and fee-for-service models.

Many regulatory analysts think it is unlikely that the SEC would undergo yet another rule-making process, especially considering how long it took to design and implement the current rule. But in a 'blue sweep,' Congress may act.

It’s hard to develop a strong personal bond with a prospect over videoconferencing.

The November CFP exams will be offered remotely, in addition to the brick-and-mortar centers administered by Prometric.