Industry

NASAA President Joseph Borg also vowed to work with SEC Chairman Jay Clayton’s team on improvements to the Regulation Best Interest proposal.

Aside from filling an obvious gender gap, new evidence is emerging about the reasons why firms should promote diversity.

The 2004 industrywide accord is rocked by changes its founders did not foresee.

The CFP Board’s new code of ethics should be celebrated for embracing the fiduciary concept — will the standards be strengthened even more in the future?

Many of the employees who were dismissed worked in the firm’s brokerage unit, according to the allegations.

In addition to being fired, advisors could also face suspension and fines — all from the carelessness of not carefully reading one simple question.

The move by Alexa von Tobel’s startup to drop planning services reveals a deal marked by challenges from the very beginning, experts say.

Finding the talent for your practice might require you to step outside your comfort zone.

When a prospective client asks, "So, what do you do?" you have 30 seconds to make a great impression. Here's how to respond.

Christopher Davis oversaw more than 190 brokers operating from eight offices while at Wells Fargo, according to his new employer.