The Latest

The firms respectively settled the regulator’s allegations about suspicious activity reports and the duty of best execution — two major areas of emphasis.

Our annual analysis of core compensation components at wirehouses, regional and national BDs.

Ashley Harris is chair of the USDF Consortium.

Elena Richards is chief diversity, equity, and inclusion officer at KPMG U.S.

Tandra Jackson is vice chair of growth and strategy at KPMG U.S.

The latest on advisors moves, executive appointments and other M&A activity this week in wealth management.

A roundup of the bits of wealth management news you might have missed over the last week.

Witnesses described massive problems with communication systems and staffing levels at a Congressional hearing. It’s unclear whether the problems will be solved anytime soon.

Tammy Halevy is executive director of Reimagine Main Street.

Rhett Buttle is the founder of Public Private Strategies.