Digital marketing

A top FINRA enforcement official warns that firms' internal compliance systems are not clued in to the often ambiguous meanings of the symbols now peppering many financial planners' communications.

Financial advisors say they can help combat the flow of misguided and misleading recommendations by posting more frequently and establishing more of a social media presence.

It may take time, trial and error but the turbo-AI tool is worth integrating into an advisory firm's marketing technology stack.

Regulators accused the investment tech company of costing customers millions of dollars by not reducing their capital gains liability.

The SEC is moving forward with regulations that broker advocates argue could make it nearly impossible to have online complaints purged.

In setting up a breakaway firm, a group of advisors tried not to step over lines when recruiting colleagues and clients. But a lawsuit argues they still went too far.

The annual advertising splash by the standard-setting group for financial advisors coincides with the March Madness basketball tournament and tax filing deadline.

The certifying group says a change in its tax-exempt status will let it communicate to the public everything financial planning, from advisor salaries to the profession's accommodating hours.

Even if advisors get a disclosure removed from their records, the damage done online can be difficult to manage.

The new year brings new regulations and the end of grace periods from federal and self regulators.