Dan is a business journalist who previously worked for various local newspapers and industry publications. He also worked for two years in Beijing as an editor at China Daily. A graduate of the University of Missouri-Columbia, he has written about banking, local governments and the legal profession, among other subjects. He now covers how politics, policy and regulation affect the financial planning industry.
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The proposal mirrors FINRA's policy requiring annual continuing education.
September 23 -
State regulators' enforcement actions for 2021 reveal which scams pose the greatest risks to investors.
September 21 -
Policies would require internal inspections of home offices once every three years and set up a pilot program to test remote reviews.
September 20 -
NASAA proposes new conduct standards for real estate trusts, updating net income and worth limits.
September 15 -
With a prediction of a historically high Social Security COLA, some worry about tax consequences
September 13 -
Though many firms have abandoned commission-based models, they can still be found in certain parts of the country.
September 9 -
Many see Social Security reform as needed but question remedies put forward by Rep. Angie Craig and others in Congress.
September 7
