By developing a consistent practice around these mindset techniques, advisors can get greater clarity and awareness.

The Investment Adviser Association is worried the potential rules would duplicate protections that already exist, according to the organization’s general counsel.

“Life moves pretty fast. If you don’t stop and look around every once in a while, you could miss it.”

John J. Woods pleaded guilty last year to a scheme that spanned more than a decade and harmed hundreds of investors throughout the country, according to the Justice Department.

A tweak to perspective, process or presentation could pay dividends.

The settlements with Northwestern Mutual, Guggenheim and Oppenheimer & Co. mirror other allegations concerning retaining electronic communications.