A NASAA model rule would impose 12 hours of CE annually for IARs
The former SEC executive will beef up the organization's detection, investigation and prosecution
Pandemic-induced gig work provides opportunities for tax savings
Two former wirehouse brokers run afoul of Reg S-P, according to Finra
Kavar Capital Partners, founded in 2011, is based in Leawood, Kansas
Under the proposed rules, most companies on the U.S. exchange would have to have one woman director and one who is minority or LGBTQ
BlackRock voted in favor of just 11% of climate resolutions in the 12 months ended in August, while Vanguard voted in favor of 15%
CRDs are only available until year-end, so advisers should contact any clients who may still benefit from taking a distribution before the option expires
Need inclusive culture to help attract and retain investors of the future
You'll need new ideas to take your business to the next level, and you need time to develop those ideas
Nautica Wealth Advisors had moved with its OSJ to Cetera for three years
Craig Rumbaugh and his California-based firms will pay $1 million for misleading investors
The deal accelerates the wave of consolidation among the finance industry’s biggest data providers
The electric car maker is about to join the S&P, but investors in S&P 500 index funds have missed a huge rally in the company’s shares
Lessons learned after letting Christine Benz analyze the way I save for retirement
According to a new InvestmentNews Research survey, women were twice as likely to be working longer hours than a year ago
A grocery chain is paying $17.5 million in one case, and a pharmaceutical company is shelling out more than $2.5 million in another
Consider the role we can play in creating the radical change needed to improve diversity, inclusion and belonging
You can call it self-doubt, lack of confidence or — as RuPaul would put it — your 'inner saboteur'
I haven’t been on a plane for months, but remember the many times flight attendants tell us to 'put your mask on before helping others'
