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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.

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.

Schwab clients now must have at least $1 million in assets to qualify for a "dedicated relationship" with an advisor. AI promises to bring similar services to a much broader swath of investors.

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.

The number of SEC enforcement actions have dropped during the second Trump administration. But the new head of the division said he supports "quality over quantity."

Jack Mullen has built an ultrahigh net worth niche at Merrill Private Wealth Management that functions much like a family office. Here's how he did it, in our latest installment of Know Your Niche.

In Wells' latest big recruiting deal, two separate groups at Merrill are coming together to form Twin Harbors Private Wealth at Wells Fargo Advisors Financial Network, or FiNet.

Defendants who've reached settlements with industry regulators complain their First Amendment rights are breached by orders forbidding them to talk about their cases.

The hire is part of a BlackRock's plan to strengthen its business with family offices, which it views as a rapidly expanding part of the wealth management business.

NASAA's proposal would align state laws with the SEC's marketing rule, eliminating concerns advisors have about running afoul of more local laws as they accept testimonials and reviews.

Tax delinquency is increasing among federal government employees as well as retirees, according to a new report.

Principality Private Wealth adds to the 115 teams &Partners has onboarded since its founding in 2023.

A lawyer representing a former UBS investor said he proved to FINRA arbitrators that his client would have been much better off simply putting her money into the stock market.

Wealth head Andy Sieg sees bank-based advisors as key to securing more of the $3 trillion its U.S. banking customers hold elsewhere. But he's also looking to AI.

Bartoli Private Wealth Management Group comes to Wells Fargo following two other large advisory practices that recently joined from Morgan Stanley and UBS.

The Swiss firm has long been trying to turn around its U.S. wealth business, including plans for a U.S. bank.

Thirty advisors recruited by LPL Financial from Ameriprise had objected to a court order that they turn over their cell phones, computers and other devices to be searched by a third-party forensic examiner.

The tool to track midsize private companies comes as firms in that category increase, while public firms are on the decline.

The pilot program offers rates better than Coinbase, Robinhood and Charles Schwab and will be rolled out to all of Morgan Stanley's 8.6 million E-Trade users later this year.

A GAO report suggests that blanket rules on spousal consent for 401(k) withdrawals could solve "financial infidelity problems — and exacerbate them.