Independent advisors

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

A survey by the Financial Services Institute finds most independent planners would rather set up RIAs than become direct employees of large firms.

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

Moisand thinks a panel for reviewing financial planners' professional standards could be in place by mid-2023 but that their work could take years to complete.

The Federal Trade Commission's proposal would not extend to non-solicitation clauses, which are far more common among brokers and advisors.

Some think planners need to be more forthcoming about how much of their investing work is being entrusted to third parties.

Government watchdogs propose more oversight amid collapse of crypto and falling markets.

Industry advocates worry the federal agency's proposed rule would undermine the business model that allows advisors and broker-dealers to act independently.

Reports and recruiters say that smaller firms, more flexibility and greater diversity are increasingly popular with industry job seekers

Industry representatives fear DOL misclassification rule will lead to costly court battles