Broker/dealer trade groups, including the Financial Services Institute and the Securities Industry and Financial Markets Association, argue in support of the SEC's proposed rule in an amicus brief this week.
An RIA that chooses to spend its money on building a client portal is expending its resources on the wrong things, PFI's Matt Sonnen writes.
The relationship matters.
Scott Frank details how he incorporates life planning questions into client meetings to create buy-in to the financial planning process.
The agency made the decision due to the spread of the coronavirus, one day after the SEC encouraged employees at its Washington, D.C. headquarters to work from home.
CEO and founder Deborah Fox hopes the name change reflects the variety of services advisors can access via the network.