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Once facing scrutiny for its relationship with a previous majority shareholder, the firm settled the regulator’s allegations about an issuer it called “Company A.”

Even if they dislike digital assets, wealth planners have a fiduciary duty to understand their confusing and murky tax treatment.

A SIFMA conference panel discussed the issues that are keeping the profession predominantly white and male.

Carson Group adds an executive, the SEC proposes SPAC rules, FINRA is looking for advisory committee members and more.

Tokenization can unlock new hedging and investment opportunities.

Regional ties such as being fans of the Buffalo Bills and Sabres led to the deal, which is being backed by the family office of the teams’ owners.

The enterprise left Kestra for Triad Advisors as part of the largest recruiting addition to the independent wealth manager in years.

We asked what experienced planners wished they knew when they started out. Here's what they had to say.

Mercer, Creative Planning and others made acquisitions. LPL, Ameriprise and Sanctuary, among others, added teams to their ranks.

The wirehouse wealth head told SIFMA conference attendees to simplify clients’ lives, keep them on track and watch their backs; advisors say the pandemic and world events have brought a changed culture.