Senators reach out to FINRA to better understand SEC’s Proposal
Being a fiduciary can be a deciding factor in the minds of many people who will be looking for the financial advisor since it would a sigh of relief to...Read More
How to Start (or start over) with Social Media Marketing as a Financial Advisor
Financial advisory clients are increasingly turning to social media to streamline, and even help manage, their investment portfolios. This leaves many advisors out in the cold if they have not...Read More
Which FINRA regulations are part of the DOL Rule best interest report requirements?
Traditionally, courts and the DOL find some key elements to be most important, in regard to facts and circumstances presented by advisors in their attempts to make prudent decisions. In...Read More