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Compliance

Unintended Consequences Behind the SEC’s Proposed Rules on Service Providers

Posted on December 5, 2022
New rules proposed by the SEC would require greater due diligence for RIAs when working with third-party investment and compliance service providers. The proposed rules are likely to get …
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Business Management

What Advisors Need to Know About LGBTQ+ Financial Planning

By: Carson Group
Tom Fridrich, Senior Wealth Planner   Financial planning for the LGBTQ+ community requires both more sensitivity and additional practical analysis that their straight counterparts do not have to consider. …
Financial Planning

Senate Addresses Taxes, Deficit, Inflation, Health Care in Proposed Bill 

By: Jamie Hopkins
Sonu Varghese, Director, Investment Platforms; and Ryan Detrick, Chief Market Strategist, contributed to this report. Senate Democrats have reached a general agreement on a bill to address climate change, …
Financial Planning

What Makes the Excell Experience a Different Financial Advisor Conference?

By: Erin Cox
Excell isn’t like every other financial advisor conference. It’s more than an event. It’s an experience centered on community. We’re not content to just fill the conference agenda with …

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