Pete Driscoll, the SEC's Department of Examinations division director, said some firms had not responded to the commission even after multiple attempts to reach them.
Commonwealth's new SVP is charged with remodeling platform access to products and services for advisors around advanced planning, annuities, investments and retirement planning.
Improving data and the imminent passing of the second-biggest stimulus program in U.S. history has turned optimism about a recovery into fears of an overheating economy.
Join us for a three-part educational series as we help you navigate the many issues, tradeoffs, and opportunities available to you as you look to the next chapter in your career. A complimentary valuation will be offered from the Mercer Advisors experts to webinar registrants. Webinar 1 begins March 9th at 2pm ET / 11am PT.
