David Burton, the senior fellow in economic policy at the Heritage Foundation who authored Project 2025’s section on securities regulation, says Finra’s oversight of the broker-dealer industry is ...

David Blanchett, managing director and head of retirement research at PGIM, said 81% of advisors use Monte Carlo software when doing retirement plans, because it allows them to model uncertainty.

The U.S. Securities and Exchange Commission fired the top regional directors at offices across the country as part of cost-cutting programs that were recommended to the Trump administration, Reuters ...

Turn Tax Season Into A Marketing Win Tax season isn’t just about number-crunching. It’s an opportunity to add value by ...

With a strong equity structure, advisory firms can keep their most talented professionals (and keep them engaged).

As we partner with financial advisors to help their wealthy clients pursue philanthropy, we’ve gathered unique insights into ...

Just as Aretha Franklin once demanded R.E.S.P.E.C.T, your clients want to be valued as unique individuals. What they don’t ...

While the story of assets in flux has gotten a lot of attention in the media, the nuances of the great wealth transfer aren’t often noticed. For instance, research compiled by Edward Jones suggests ...

Americans with federal debt are facing financial consequences for missed payments after a long pandemic pause.

Financial service firms will have to be more vigilant about protecting client data, he said.

Wealth Enhancement Group, a Minneapolis-based independent wealth manager and RIA acquirer, has purchased the wealth services division of First International Bank & Trust in Watford City, N.D., which ...

Tech Wreck The third thing that we can learn from boomers and their transition out of the workplace is the importance of technology both now and going forward. One of the more interesting aspects of ...