The board's Center for Financial Planning provided more than $300,000 in scholarships last year, up from the more than $200,000 it awarded in 2020.
Under Chairman Gary Gensler, the agency is taking a closer look at private equity, hedge funds.
Robert Netzly has maintained his focus on biblically-based financial planning, while keeping his expectations low. The market is finding him.
The firm's African American Financial Professionals Network will use tools provided by Changing How Individuals Prosper, an online referral network.
When a client has a request, dig deeper before you take action by asking, 'Why you want to do that?'
The CFP Board also touts last year's growth in Black and Hispanic mark holders, who still represent a small fraction of the CFP population.
The leaders of the agency's enforcement division talk about the message the SEC sent with a $125 million penalty for JPMorgan's failure to preserve text messages.
As the next generation of investors comes on board, advisers are repeating the age-old mantra about not panicking in response to market swings.
The major trends underway in the financial adviser ecosystem, and what those trends portend for the year to come.
Advisers need to deal with fear in many aspects of their work, whether it's market volatility, the effects of the pandemic or their own concerns about breaking away from a wirehouse.
As coronavirus conditions improve across the country, employees across major financial firms are being asked to come back.
In a recent public appearance, the SEC chair addressed so-called 'regulation by enforcement' without mentioning it by name.
The technology lets artificial intelligence do the monotonous tasks of compliance reviews, allowing marketers and compliance teams to focus on the more complex details.
The adviser, James Iannazzo, went on a tirade over the weekend after his son had an allergic reaction to a drink.
Wall Street giant sets another high mark for profit in 2021.
Chief executives at leading brokerage and advisory firms are earning more money than ever. Here are the 2021 compensation numbers for some of the most notable executives.
The moves in product teams increase the responsibilities of Andy Sieg, the president of Merrill Lynch, and Katy Knox, president of BofA's private bank.
Cerulli research shows mountains of wealth will be looking for a home over the next 20 years.
Anne Simpson developed and executed the sustainability investment strategy for the giant California pension plan.
The broker-dealer self-regulator also punished the firm for inaccurate and omitted conflict disclosures in research reports.
