Practice

The first phase of FINRA's pilot program for continuing remote branch inspections drew the most interest from firms with 500 representatives or more.

Unsurprisingly, six of the top 10 costliest destinations are in California.

As a growing area of expense, the impact to budgets and financial plans merits a discussion, according to experts. Here's a mini guide to the key considerations.

Double-dipping on wage claims and saying masks disrupted operations are just two new hallmarks of bad Employee Retention Credit claims.

The surprise announcement of their exit distracted from some record metrics and the firm's indication that it will be keeping its cash sweep yields the same.

Opponents of the new regulation won a legal victory in a ruling that places it in a stay during their lawsuit challenging the legality of the changes to ERISA.

The program allows candidates to complete the certification program online, asynchronously and in half the time it takes to complete the standard program.

By blending empathy, pragmatism, prompt action and effective communication, financial planners can have an outsized impact on clients with dementia and their families.

Powder launched last year as a generative AI-powered document reader for advisors. Now the growing fintech has released an AI-chatbot assistant on the heels of a $5 million cap raise.

While generalists may worry they're leaving money on the table by sharpening their focuses so drastically, those who serve narrow client bases say they would never go back.