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In a milestone shift, Vanguard overtakes BlackRock, with nearly $4.4 trillion in exchange-traded fund assets.

Nearly two years into a pilot program designed to test remote inspections of brokers' residential and other remote offices, FINRA feels comfortable enough with the results to push for a permanent policy.

As brokerage firms keep getting sued for allegedly not providing clients fair returns on their uninvested cash, the SEC tells investment advisors they also have legal liabilities.

In a recent industry snapshot, the Investment Adviser Association found the average number of data points advisors have to report in annual regulatory filings has nearly doubled to more than 1,000 since 2011.

The report by ISS Market Intelligence displays both a large uptick in moves by financial advisors and other reps last year and trends over the past decade or more.

Amid geopolitical uncertainty and fears of a trade war, family offices also show a preference in investing in developed markets.

The Excel-based calculator can help companies working on large, multiyear construction or manufacturing projects compute the interest for the contracts.

An industry recruiter says two big questions remain: Can Raymond James keep up its recruiting momentum after most Commonwealth advisors are settled? And how will LPL Financial respond?

Head of Schwab Advisor Services Jonathan Beatty maintains there's more than enough wealth management business for everyone to share. But at least one critic says Schwab is clearly seeking a bigger piece of the pie.

RBC's U.S. wealth business also benefited from a surge in loans to clients.

Gryphon Wealth will keep Wells Fargo Clearing Services as its custodian in a deal that brings in tech support from TradePMR, a firm acquired by Robinhood in 2024.

Jim Gold of Steward Partners thinks impending advisor retirements will continue driving smaller RIAs into M&A deals with big acquirers — even as AI turns many investors into "do-it-yourselfers."

Fidelity Institutional Wealth Management Services faces competitive threats in an era of ETFs and multicustodian advisory practices. But it has big advantages.

Merrill, BMO and Schwab are among many firms helping clients take out security-backed loans against market gains to avoid capital gains tax hits.

The Uniform Partition of Heirs' Property Act helps families avoid forced property sales in at least 24 states, according to a study sponsored by JPMorgan Chase.

The Securities and Exchange Commission rescinded a policy Monday requiring defendants in settled enforcement actions not to publicly deny the SEC's allegations.

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.