The Broker Innovation Lab celebrates brokers and other benefits stakeholders who have embraced the changing marketplace to position themselves and their business for future success
In latest SEC investigation, 11 firms will pay more than $88 million to settle charges related to off-channel texting communications and widespread recordkeeping failures against investment advisors and broker-dealers.
As Trump-era tax policy nears its expiration date, the CFP Board and other financial trade groups urge the House Ways and Means Committee to reinstate tax incentives for workers seeking financial advice.
According to the report, a big majority (74%) of respondents reported sharing employees' job levels, while just 58% said they share variable pay opportunities.