Client communications

Long-awaited advertising regulations allow for online testimonials but also increased risk of audits, observers and commissioners say.

Just like the industries that they cover, the lack of Black representation among news outlets acts as a barrier against understanding and eliminating systemic racism.

The worst fiscal crisis in decades is pitting U.S. states against one another over billions in taxes from residents working from home.

It won’t just change the composition of corporate board rooms. It may change conversations with clients too.

Planners and experts dive into wirehouse pay, charging clients at a higher rate, emerging business models and other key issues.

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

Investing in virtual tools is a must but planners must also seize this moment to expand practices and deepen existing relationships, writes Broadridge Financial's Michael Alexander.

While FINRA rules spell out what brokers generally need to determine a client's financial situtation, there can be gray areas, an expert says.

Advisors need a complete picture of the unique defined benefits and compensation a veteran receives.

Clients should save political beliefs for the polling place and letters to elected representatives; don’t let them cloud your investment decisions, writes financial planner Kimberly Foss.