The high percentage of blank responses in a section of Form ADV related to the SEC's new marketing rule could indicate that RIAs are still grappling with how to comply with the regulation, according to a new analysis from IndyFin.
Financial Services Institute CEO Dale Brown opposes the DOL decision, arguing the rule offers 'much-needed certainty' for advisors who opted to be independent contractors.
Alliance Global Investors will forfeit $463 million and pay $3.2 billion in restitution to victims of the fraud as well as a $2.3 billion penalty.
The truth and the dangerous lies.
The co-founder of Third Eye Associates discusses the firm's financial planning process, including creating a personal vision statement to help clients truly understand what they need to do to align their money with their values.
The misconception is that advisors need complex language to showcase their expertise.