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Ryan's selection may indicate an SEC aiming to resolve more violations by other means than enforcement actions, one lawyer said.

The tide is in the wirehouse's direction in its fights with advisors who've left for rival firms.

As head of the SEC's enforcement division, Margaret Ryan is expected to pursue the administration's priority on fighting fraud and insider-trading cases, while taking a lighter touch than her precessor with the crypto industry.

Also this week, Raymond James picks another team from Commonwealth amid its purchase by LPL, and Cetera recruits from B. Riley Wealth Advisors.

The current president of Omaha, Nebraska-based Orion Advisor Technology and former starting pitcher for the Vanderbilt University baseball team spoke recently with Financial Planning about his new role, AI, the challenges of bringing various solutions together in one place and more.

The Internal Revenue Service issued answers to frequently asked questions about the soon-to-expire tax credits for solar and wind power and electric vehicles.

Recruiters say firms routinely cover advisors' lost deferred compensation in offer packages. Those deals are complicating efforts by advisors who contend they're still owed backpay.

Seventeen Democratic state officials urged major asset managers to prioritize long-term risks like climate change, rejecting Republican efforts to curb ESG investing.

What tips qualify, which don't, how to file and more.

Deploying mindful nutrition habits throughout the workday staves off advisor stress while sharpening analytical thinking and client communication skills.