Skip Schweiss, Managing Director of Advisor Advocacy at TD Ameritrade Institutional, provides a round-up of the status on regulatory issues with the potential to affect advisors. From the DOL to the newest SEC guidance on financial advice, here’s Skip’s take.
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An increasingly popular form of lending enables financial advisors and their clients to offset capital gains and find other tax savings.
President Donald Trump is reportedly considering moving cannabis from a Schedule I to Schedule III substance. Experts say this could go a long way toward establishing the industry's legitimacy.
Michael Nathanson oversaw Focus Financial Partners as it reorganized into five internal hubs. Industry experts say the long overdue consolidation still has far to go.
Yes, AI is saving many advisors time and helping them reach prospects. But some say the rapid rate of adoption and automation could put them out of a job in the future.
Brett Griffin was given two months' notice that he would lose his job when Charles Schwab closed the office where he was working in Temecula, California. Now the firm accuses him of using some of that time to help move client data to a rival RIA.
In a move some industry observers call "dangerous and irresponsible," the administration is taking down consumer protection guardrails that have been put up by states like California and Colorado.
