Two promising developments in the push to boost the number of advisers examined by the SEC each year have taken shape in the last couple of weeks. But don't hold your breath for that knock on the door from an examiner just yet.
The first is the SEC's plan to shift some of its broker-exam staff o
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Advisers play an important role in grooming the next generation of savvy consumers, which can be a win-win for clients and advisers alike.
There's a big disconnect between investor expectations and stark economic realities, especially among American millennials.
Not all charities are created equal, and advisers shouldn't relinquish their role as stewards of their clients' wealth by avoiding philanthropy discussions
A call for new Finra leadership to be more forthcoming about the board's work.
Little to indicate the ETF industry is fully prepared for a major rush to the exits by investors.
