Practice

“The sheriff is coming to the preeminent financial regulator in the world,” said Justin Slaughter, a consultant at Mercury Strategies. “It means regulation and enforcement are about to get much tougher.”

The firm’s aggressive hiring streak continues with the onboarding of several wirehouse advisors.

BlackRock’s CEO joins a chorus of corporate voices reconsidering their roles in the political process in the wake of the Jan. 6 unrest.

Even as the numbers improve, Black and Hispanic advisors are still vastly underrepresented within the industry.

Two former FINRA employees are joining the fast-growing brokerage app.

Pressure is mounting for firms to respond to last week’s violence at the Capitol.

The founding partners of the 300-advisor OSJ will remain in their current roles for three years under the same structure as before the deal.

The government called the companies’ decision to halt their combination “a victory for American consumers and small businesses.”

Nearly three decades after launching their practice, the two founders say they’re looking forward to spending more time with clients.

Clients have gotten used to less in-person interaction and have reshaped their expectations and behavior accordingly, says Broadridge's Fred Duden.