A tip, a complaint, a news article, high fees or firm leadership changes. These are among the things that can to a registered investment advisor firm being targeted for one of the 2,250 exams the SEC ...

Barr said the SEC’s direction is clear: “They are going to be focusing on bread and butter. They are going to focus on fiduciary duty. There may be some focus, given the environment, on ESG and ...

The share of test takers who pass the CFP Board's exam has risen significantly in recent years, but experts are divided on ...

The Securities and Exchange Commission is cautioning advisors to review and update their compliance operations ahead of a major new rule coming into effect that will govern how firms advertise and ...

Advisor exams and registrations are on pause as a bare-bones Securities and Exchange Commission focuses on market ...

The SEC wants advisors to disclose whether the person who's touting them is a client, is being compensated or has any conflicts of interest. By Mark Schoeff Jr. Now that investment advisors have the ...

The Securities and Exchange Commission's Examination Division will begin targeting solicitor municipal advisors in FY 2024, following the establishment of their own core standards through new MSRB ...

Many financial planners have an interest in becoming a Chartered Financial Analyst (CFA). But while some understand what they are getting into when they decide to take the exam — the cost, the time it ...

The personal financial advisor career has a projected growth of 17% in the next ten years—over four times higher than the national average. Meanwhile, securities, commodities, and financial services ...

Today, Origin, the all-in-one personal finance app, introduced its AI financial advisor – the first system designed to provide certified financial planner–level guidance to everyday Americans. Built ...