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LPL's board proposed a huge boost to CEO Rich Steinmeier's compensation package following a year defined by the firm's acquisition of Commonwealth Financial Network.

Investor advocates think the money should instead go to clients who haven't been paid outstanding arbitration awards.

Considered a report card on client satisfaction across both advised and DIY customers, the latest JD Power survey points to the growing power of technology to capture new business.

The Securities and Exchange Commission and the Commodity Futures Trading Commission issued an interpretation of how federal securities laws apply to crypto.

Punitive damages, disclosures over employment terminations, the statute of limitations for bringing claims — FINRA is asking about it all in a series of more than 60 questions about revamps to its arbitration procedures.

A recent alert from the U.S. Securities and Exchange Commission flags ongoing compliance gaps in testimonials, endorsements and third-party ratings as scrutiny shifts to real-world practices.

Federal Judge David Nye sides with a broker fired over five years ago for placing trades without first obtaining his client's permission.

Penny Pennington has presided over a wide-ranging overhaul that has seen forays into alternative assets and banking but also heightened rates of advisor departures.

Dynasty accuses Merrill of acting in distorting the court record in its attempt to force a dispute over a giant breakaway team before FINRA arbitrators.

The new IRS Tax Withholding Estimator accounts for changes to tax credits and deductions introduced by the One Big Beautiful Bill Act.

"Retail investors have learned not to pay attention to the noise," said Rick Wurster from the sidelines of the Future Proof wealth management conference in Miami Beach.

A FINRA arbitration panel ordered Eileen Cure to pay back recruiting-loan debt and more after she was let over a "no Blacks" order she sent to her staff.

The latest victory in court for Jayne W. Di Vincenzo over Devin J. Garofalo may have finally ended the saga.

In a sternly written footnote, federal Judge Steven Merryday said the SEC's refusal to release information on its penalty calculations appears to "countenance duplicity, gamesmanship, neglect, insouciance" or worse.

Panelists said advisory firms should take urgent steps to get ahead of regulatory examinations focusing on AI use.

The Internal Revenue Service has released its annual list of the 12 most dangerous tax scams, including a new long-term capital gains credit scam, bad advice on social media, and more.

Nasdaq announced its partnership with the crypto exchange as part of an initiative for 24/7 trading that is pending regulatory approval from the SEC.

The payouts come as UBS nears completing its integration of Credit Suisse, which it bought in 2023.

The spring media buy for the CFP Board's ad push to increase public trust in and visibility of certified financial planners will cost $14.6 million and run to May 17.

The pilot program for the new Trump accounts will deposit $1,000 into the accounts of children born between 2025 and 2028.