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Ask Your Prospect Questions that Make an Impact

Apr 25, 2019

Schwab's Portfolio Connect Graduates From Early Access

Apr 24, 2019

Ladenburg Taps Former Cetera COO to Lead New Enterprise Service Initiative

Apr 24, 2019

Q&A: The State of Independent Advising in 2019

Apr 24, 2019

TD Ameritrade Cut Marketing as `Fish Weren't Biting,' CEO Says

Apr 24, 2019

Featured

The 10 Best States for Clients to Retire in 2019

Jan 18, 2019

Top Money Managers Warn of 2019 Risks

Dec 31, 2018

Inside ETFs’ Hidden Gems of 2019

Jan 17, 2019

How Smart Are You About the SEC's Regulation Best Interest?

Jan 11, 2019

Highlights

Switzerland Issues New Rules Affecting U.S. Financial Service Providers

Apr 25, 2019

They streamline the process with existing E.U. regulations.

Widow Seeks $2 Million From Wells Fargo FiNet Broker

Apr 22, 2019

A New Jersey woman claims a broker with Wells Fargo Advisors Financial Network used proceeds of her late husband...

Bitcoin Going Mainstream Might Hinge on New York Crypto License

Apr 22, 2019

The fate of the ballyhooed Bakkt project is in the hands of state regulators now.

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Trump Order Could Mean Scrutiny for ESG Funds

Apr 19, 2019

Environmental, social and governance funds could see criticism following a broad executive order signed by President Trump.

Trump's Opportunity Zone Rules Deliver on Investors' Wish List

Apr 19, 2019

The rules provide more clarity on the tax breaks included in the 2017 tax reform legislation.

Advisor Charged in Medical Marijuana Scheme

Apr 17, 2019

Investors allegedly lost $8 million in assets from a failed medical marijuana venture linked to a Massachusetts-based advisor.

New Jersey Proposes Uniform Fiduciary Rule for Brokers and Advisors

Apr 16, 2019

The proposed regulation would make the Garden State one of the first in the country to enact a uniform fiduciary standard for financial advisors.

Op Ed: The SEC Needs to Keep a Decades-Old Promise to the Investing Public

Apr 16, 2019

The brokerage industry loves Regulation Best Interest. Investors shouldn't.

Florida Retiree Awarded Full Restitution in FINRA Dispute

Apr 15, 2019

A FINRA arbitrator found that a broker at RBC Capital Markets offered misleading information about the investments made on...

Woodbridge Execs Arrested, Charged in $1.2 Billion Ponzi Scheme

Apr 12, 2019

Woodbridge's former owner and directors of investments were arrested, accused of orchestrating a far-reaching Ponzi scheme that...

How Smart Are You About Single Family Offices?

Apr 12, 2019

Just how much do you know about how family offices function and the rules under which they are governed?

Congressional Panel Debates Mandatory Arbitration

Apr 04, 2019

A House committee is considering a half-dozen bills aimed at investor protection, including one that would prohibit firms from including arbitration-mandatory clauses in client agreements.

Should Index Funds Be Bound by a Fiduciary Standard?

Apr 02, 2019

When it comes to environmental, social and governance issues, they should, according to a former senator speaking at a congressional hearing.

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