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The program recognizes registered investment advisory practices that provide positive workplace environments and excellent benefits, according to their employees.

The SEC is now focused on "quality of cases versus quantity," the SEC chairman said during a discussion held as part of the 2026 FINRA Annual Conference.

Oppenheimer said it had calculated its potential liability in its cash sweeps lawsuit at more than $440 million. Rather than face a jury, it's settling the class action lawsuit.

Financial advisors considering a career move may not need a recruiter, but the right one can open doors to more firms, negotiate compensation and help manage the transition.

Financial planning can be complex to regular investors. Advisors shared the analogies and stories that bring ideas into focus with clients and prospects.

At their institutional investor day, Charles Schwab executives say they see a huge opportunity in arranging securities-backed loans for firms in its RIA network.

Financial planners and organic growth experts understand why some may hesitate to start posting videos. But the benefits far outweigh any risk of embarrassment.

Investors are asking AI for help picking a financial advisor. Yet some firms remain invisible to AI. Here's how to get Claude or ChatGPT to name you.

A series of settlements and arbitration awards since late 2022 require Stifel to pay hundreds of millions over recommendations made by its former broker Chuck Roberts.

Rossby Financial is deploying a profitability tool as it competes against much larger RIAs for financial advisor talent.