Practice

The regulator's Office of Compliance Inspections and Examinations plans to beef-up focus on longstanding areas of concerns in the RIA and brokerage space.

Clients are advised by a panel of experts to remain calm while rates increase; Plus, clients can gain more security by ignoring a budget and saving automatically.

A widow unaware she could claim spousal benefits before claiming her own dramatically increases her retirement income, thanks to guidance from her advisor.

How to get them to offer unsolicited praise in a social setting.

Advisors may want to highlight the tax- savings strategies recently made permanent by Congress for investing in QSBS, REITs and more.

Retirement savers first need to decide the amount of time they have left before retiring; Plus, how clients should react to the market selloff.

Playing nicely with CPAs can help advisors land new clients.

Don’t be too ‘salesy,’ but rather highlight advice and expertise.

How clients can tell ETFs which avoid taxable distributions from those that don't. Plus, the advantages of inheriting mutual funds in taxable accounts over selling them, and smart ways for setting up a scholarship fund.

The new recruits move to the independent side of Wells Fargo.