The Latest

Voices 5 lessons from failing the CFP exam

Kate Dore
Kate Dore is a candidate for CFP certification and founder of CashvilleSkyline.com CashvilleSkyline.com

Failing the test can be devastating, but you shouldn’t quit. Whether it's your first or last attempt, avoiding these mistakes may help you earn the coveted passing grade.

CFPs 3h ago

CFPs 3h ago
Many Americans go broke in retirement, but many grow their wealth: Retirement Scan

Many retirees kept their financial assets for at least 20 years after retiring, according to a study by the Employee Benefit Research Institute.

Retirement scan Margarida Correia 4h ago

Retirement scan Margarida Correia 4h ago
eBook The rise of securities-based lending

Learn the benefits of automating a securities-based lending process and technology requirements to streamline the process.

Automation April 10

Sponsor content from

Automation April 10
Advisor who defrauded his handicapped in-laws gets 12 years in prison

The defrauded clients included the advisor’s own in-laws, who had suffered from Alzheimer’s and a debilitating stroke.

Securities fraud Sean Allocca 5h ago

Securities fraud Sean Allocca 5h ago
New tax law, new rules: 11 tips for helping clients maximize benefits

A majority of affluent Americans are likely to adjust their financial plans under the new law, according to the AICPA. Here's how advisors can help.

Tax planning Maddy Perkins 6h ago

Tax planning Maddy Perkins 6h ago
No succession plan? Why smaller firms are at risk

Developing a team is crucial for RIA owners thinking about winding things down.

RIAs Charles Paikert 6h ago

RIAs Charles Paikert 6h ago
Capital One advisors to go indie with Advisor Group firm after M&A deal

The bank’s latest retreat from wealth management will move 51 advisors to the independent space under Woodbury Financial.

Independent BDs Tobias Salinger 6h ago

Independent BDs Tobias Salinger 6h ago
SEC fiduciary rule ... is not a fiduciary rule

If it's not uniform, and it's not a fiduciary standard, then it is at best a modest step forward, investor advocates say.

Fiduciary standard Kenneth Corbin 7h ago

Fiduciary standard Kenneth Corbin 7h ago
Voices Winners and losers from SEC advice rule

Bob Veres
Columnist

It appears the regulator bought into sales reps' investor choice argument right from the beginning.

Fiduciary standard 8h ago

Fiduciary standard 8h ago
Voices Why the SEC proposal is a victory for clients

John Taft
Vice Chairman Baird

New rules recognize the fact that commission-based transaction services can be the most cost effective way for Main Street investors to receive financial advice.

Fiduciary standard 9h ago

Fiduciary standard 9h ago

See more The Latest

The Latest

Like what you see? Make sure you're getting it all

Financial Planning