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Coronavirus has accelerated trends in advisor compensation as firms move to an ensemble model and enhance their benefits packages.

The outcomes of two elections in Georgia that are scheduled for Jan. 5 are expected to determine the balance of power in the Senate and may also have an impact on the kind of tax planning that accountants should be advising their clients to do.

The advisors know RBC’s Pittsburgh complex director from earlier in their careers, when all three men worked at Smith Barney.

A group of 25 Democrats in the House wrote to congressional leaders asking them to provide $12.1 billion in funding for the Internal Revenue Service, including $5.2 billion for enforcement, with an eye toward cracking down on high-income tax cheats.

The 20 mutual funds and ETFs on this list have an average fee of roughly 111 basis points.

The low interest rates pushing down sales across most fixed and variable lines are also boosting certain products.

For its next leader, Ohio National turned to a veteran executive with prior experience leading its independent broker-dealer.

Maybe not, says FINRA — but if you’re IM’ing, using slides during the virtual meeting, or recording it, probably yes.

The wealth management firm says the pandemic has proven how invaluable the benefit is for retaining talent.

The rules address the definition of real property, and how to handle personal property included in an exchange.

One thing was made clear at the annual event: There’s more work to be done.

James Booth’s seven-year fraud bilked investors out of nearly $5 million.

The No. 1 IBD is responsible for nearly half of the dozen mega-moves in its sector this year.

The Office of the Comptroller of the Currency says JPMorgan Chase’s fiduciary unit lacked sufficient controls to manage risk and avoid conflicts of interest.

Once a laggard, the index and its cyclical components have shot up 13% since Halloween, putting it on track for the best month since 1987.

Loose monetary policy and huge stimulus injections have some investors questioning the validity of traditional long-term approaches.

As some firms closed their doors, the regional BD saw a selling point for new recruits and existing FAs in a different approach.

Far from commoditized, digital advisors' performance varies widely, according to new research.

“Financial advisors typically don’t speak athletes’ language, so athletes and entertainers gravitate toward those people who do,” said former Chicago Bears defensive end Adewale Ogunleye.

The hurdles faced by Black professionals who break into the financial services belie the notion that their small numbers at the industry’s top ranks are a pipeline problem.