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Firms have only six weeks to find a replacement technology platform.

In a surprise announcement, Private Advisor Group tapped Moore as CEO nearly two years after he left Cetera for undisclosed medical reasons.

It’s another big get for a bank that has been busily luring away top talent from the wirehouses.

“Platforms like this you would typically see at the larger broker-dealers and maybe the wirehouses,” says Gary Gallagher, the firm’s head of investment and managed solutions.

Whether the law changes next year or in 2025, wealthy clients can save by using the generous provisions now.

It’s one of the largest recruiting moves of the year in the independent broker-dealer sector.

Five firms agreed to pay $3 million to settle an SEC investigation into unsuitable sales of complex exchange-traded products.

While FINRA rules spell out what brokers generally need to determine a client's financial situtation, there can be gray areas, an expert says.

Democrat Joe Biden is expected to name his SEC chairman pick in the coming weeks.

Funds tracking telemedicine, gaming and even pet care attracted $2.5 billion in November alone, according to Bloomberg data.