The FPA is part of an effort to renew research into advisor and client relationships that started 15 years ago.
The NASAA model legislation servs as a guide for states that want to compensate the victims of securities fraud.
Young adults expressed the most optimism about their financial futures among all U.S. adults polled.
But 95% of those who use advisors consider them worth it, the survey said.
A majority of bankers said they expected the economy to improve over the next year.
The Glendale, Calif.-based broker-dealer failed to properly oversee variable annuity exchanges, Finra said.
DaRayl Davis swindled his victims out of $5.1 million in an investment scheme, prosecutors said.
Up from 61% two years earlier, the figure reflects broadening acceptance of ESG strategies, according to Natixis.
The Royal Bank of Canada found that its U.S. female clients were twice as likely as men to key in on ESG issues.
Most people tell white lies about their finances at least sometimes, a new survey says.
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