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What Holiday Gifts Do Financial Advisors Send to Clients? – 2020 Study
Within the financial advisory and planning industry, holiday gifts often foster stronger advisor-client relationships.
Advisors, CPA Firms Should Prepare For A Second Round Of PPP Funds
The $908 billion coronavirus relief package that is currently being chiseled together by Congress may include a second PPP round of funds.
Finra Fines Centra $1 Million For RIA Supervision Failure
Finra fined Cetera $1 million for failing to supervise various private securities transactions made by dually registered representatives at outside RIAs.
Massachusetts Takes On Robinhood To Test Fiduciary Rule
In September, Massachusetts strengthened its investment advice standard for brokers. Now, the state is taking on its first major case to test it.