Regulator says the RIA also will pay a fine of $200,000 to settle issues tied to funds with undisclosed revenue and higher costs.

Offering an on-demand pay benefit can prove to be a strategic differentiator in post-pandemic rehiring.

UMR's Marla Kolbeck sheds light on plan mirroring, advanced funding and experience refunds in this podcast interview. This podcast is sponsored by UMR.

According to a recent McDermott Will & Emery webinar, the answer to that question is usually, "It depends."