The
The hearing was scheduled before the
Since 1999, the SEC has allowed fee-based brokers to give investment advice as long as that advice is “incidental” to executing trades. Financial planners say that these brokers are providing more than “incidental” advice.
The SEC regulates brokers under the 1934 act and investment advisors under the 1940 act.
Large wealth managers are chasing a multitrillion dollar opportunity to manage more of their clients' assets. But many high net worth investors give their business to multiple firms, whether out of a desire for protection, habit or a need to shop around for the best returns.
The latest projections indicate the main Social Security retirement fund will reach insolvency in less than six and a half years. For retirees and their advisors, that could mean a potential rethink of retirement plans.
Michael Beloff has helped families with special needs while also understanding how to best take care of his own son with autism. He's grown free outreach into a thriving niche.
In a recent industry snapshot, the Investment Adviser Association found the average number of data points advisors have to report in annual regulatory filings has nearly doubled to more than 1,000 since 2011.
A technicality in the federal law enacted in July 2025 changed how deductions work for estates and trusts, creating uncertainty over how taxes are allocated after a person's death.
Advisor Growth Solutions founder Jeffrey Czajka created a new professional community for early-career advisors at a low price point by the field's standards.
