SRO proposes consolidated rulebook, alongside end to dual registration
New $300 fee per rep set to take effect April 1
Costs vary by distributor, fund and asset type, regulators conclude
CIRO is waiting for CRA’s feedback to move ahead, while CRA says the matter falls outside its scope
The average dealer advisor was adjusting their client mix and refining their services coming into 2025
There’s an ongoing technology race in the wealth industry, but advisors also crave simpler things
Regulators propose changes to harmonize with SEC rules, ease restrictions
SRO publishes syllabi, practice exams, ahead of shift to new proficiency model
Large study finds younger, male investors most interested in advice from AI
Market volatility, state of economy causing some independent advisors to delay their succession plans