Practice

The proposed changes, including to brokers' "payment for order flow" practices, laregly come in response to frenzied trading in so-called meme stocks.

Former NFL star and UBS Head of Sports and Entertainment Adewale Ogunleye said professional athletes tend to prefer female advisors for whom "male ego" does not get in the way.

While the Auto IRA Act of 2024 is "long overdue" for some, others feel it represents the "nanny state."

The "reverse churning" case highlights the regulatory gap investors can fall into when moving between brokerage and advisory relationships.

Advisors can guide clients on taxes, financing, buying versus leasing and how to boost their negotiating power.

The first rule of staying on the right side of the SEC's updated marketing rule: Involve compliance early and often.

Erin Reddick, founder of ChatBlackGPT, said advisors can use AI to make their firms more inclusive and diversify and grow their client base.

Within days of a colleague's retirement and having been introduced as their new advisor, Corbin Hoffner left for Raymond James.

It's key for an advisor to have a firm grasp of clients' long-term goals, how much they are spending now and how much they plan to spend in the future.

The U.S. Government Accountability Office conducted a nearly four-year study. Here are the key findings from its exhaustive report.