Financial Advisor Blog - Page 47 - Financial Advisor Transitions

Firms Forge Ahead with Crypto Policies Amid Regulatory Debate

February 22nd, 2024

As regulators mull over the implementation of rules to safeguard investors in the rapidly expanding cryptocurrency markets, financial firms are tak...

FPA and CFP Board Disagree Over Financial Planner Regulation

February 21st, 2024

In 2022, the Financial Planning Association (FPA) parted ways with two other industry groups, dissolving a coalition known as the Financial Plannin...

Van Eck Settles SEC Claims Over Influencer's Role in ETF Launch

February 20th, 2024

Investment adviser Van Eck Associates has agreed to pay $1.75 million to settle claims by the Securities and Exchange Commission (SEC) regarding it...

The Evolving Role of Financial Advisors

February 19th, 2024

A recent survey conducted by the FINRA Foundation and Fontes Research underscores the significant impact of financial stress on various aspects of ...

FinCEN Proposes Anti-Money Laundering Rules for Investment Advisors Amid...

February 16th, 2024

Regulators are considering extending anti-money laundering laws to include investment advisers, a move that could significantly impact the complian...

Morgan Stanley Announces Job Cuts Amid Wealth Segment Challenges

February 15th, 2024

Morgan Stanley, under the leadership of Chief Executive Officer Ted Pick, is set to reduce its workforce by several hundred positions, marking the ...

LPL Financial to Offer Retention Bonuses for Atria Wealth Solutions Advi...

February 14th, 2024

Following the announcement of its acquisition deal with independent broker-dealer Atria Wealth Solutions, LPL Financial is preparing retention bonu...

LPL Financial Acquires Atria Wealth Solutions

February 13th, 2024

LPL Financial has announced its acquisition of Atria Wealth Solutions, marking a significant move in the financial services landscape.

US Supreme Court Eases Path for Whistleblower Retaliation Claims

February 12th, 2024

In a significant ruling, the US Supreme Court has simplified the process for whistleblowers seeking legal recourse against retaliation under federa...

Navigating Fee Structures in Financial Advisory Firms

February 9th, 2024

As financial advisors increasingly explore alternative fee structures beyond the traditional 1 percent of assets model, they are reshaping how they...