Practice

"The number of enforcement cases is likely to be down considerably going forward," said Urska Velikonja, a law professor at Emory University.

The acting head of OCIE says the commission has abandoned "wide, full-scope" scrutiny in favor of more targeted, risk-based reviews.

Clients who have assets in an IRA but want to reduce the costs may want to roll the money into their 401(k) plan if their employer allows such transfer.

The 17-year industry veteran says organic growth is the biggest issue facing advisory firms.

These products are meant for short- and intermediate-term investing and should carry enough risk to grow and meet the goals over time.

The firm also recruited an international wealth management team that oversaw $576 million, according to our latest roundup of recent hires and moves.

Keith Rowling ranked No. 2 on the 2016 list of the industry's top young producers.

The independent firm has recruited a number of wirehouse brokers and grown to $3 billion in client assets, according to the company.

The wirehouse has already paid $415 million in fines and disgorged profits in a settlement.

CFP candidates should consider a well-rounded college or graduate school education in professional sales.