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In addition, the SEC is likely to pass additional rules next year, she said.
ten Siethoff did not specify which of the proposed rules the SEC will pass except to say it will be many.
Subscribers can earn one CE credit toward recertification by successfully passing the monthly 10-question quiz that tests general knowledge of financial planning.
Raymond James posted record client assets, continued strong advisor recruiting and rolled out its proprietary AI assistant in a strong third quarter.
At Diversified Trust, the former CEOs aren't a problem. They're part of a strategic leadership change.
More than half of Americans in their 40s are considered the "sandwich" generation, supporting both their aging parents and raising kids. Here is how financial advisors can support them.
Advisors can help clients to diversify their stock portfolios, maximize growth and defer taxes with this increasingly popular method for harvesting losses.
The SEC opened public comment on Regulation E-Delivery, a proposal that would replace its decades-old guidance-based framework and make electronic delivery the default for required investor disclosures.
