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Consolidation has been ongoing for more than a decade in wealth management, but it accelerated to unprecedented levels this year.

For the first time in an annual compliance report, FINRA devotes a section to AI risks, including from third-party vendors and scammers.

Morningstar's study of this growing area of asset management suggests that 529 plan quality is rising, despite the research firm's lackluster grades for it.

Henry Robert Gleckler IV's dispute with JPMorgan over his alleged solicitation of his former clients now heads for a resolution before a FINRA arbitration panel.

Nearly all the brokers who dropped their FINRA registration in the wake of tougher rules kept their insurance licenses, according to newly published research.

The release coincides with a $6.25 billion donation from Michael Dell and his wife to kickstart the savings program.

RBC CEO David McKay discusses plans to provide more clients with banking relationships while the firm announces a reorganization of its U.S. wealth management division next year.

JPMorgan again shows it makes a sharp distinction between advisors who build their own books of business and those who amass clientele from bank referrals.

The fund manager, convicted of fraud by a New York federal jury in August 2024 and sentence to seven years, spent less than two weeks in prison before being released.

Funds that primarily hold select cryptocurrencies, including bitcoin, ether, XRP and solana will be allowed.

UBS chief data and analytics officer Joe Cordeira says AI won't replace advisors. But it can help them by providing little nudges to do everything from rebalancing a portfolio to wishing a client happy birthday.

A tweak to the deductibility of gambling losses may not bring in a lot of tax revenue, but it could certainly alter a lot of wagers next year.

Innovator Capital Management, which Goldman will acquire next year, was a pioneer with ETFs that hedge risk by offsetting investors' exposure to equity losses by also capping their ability to realize gains.

After the newly crypto-friendly Donald Trump won reelection, bitcoin jumped over $100,000. Many advisors and even more clients remain skeptical, though.

One of the most consequential M&A deals in years leads this roundup of the many ways big independent firms grew in 2025 and how they plan to continue growing in 2026.

With the rapid growth of the RIA industry, large wealth managers are increasingly finding ways to make money by supporting independent advisory practices.

The latest SEC Enforcement Activity report finds that the watchdog agency has only started four regulatory cases against public companies under the current presidential administration.

In Notice 2025-69, the IRS and the Treasury offer clarifications and examples of how to claim the One Big Beautiful Bill Act deductions.

Wells Fargo had argued that FINRA arbitration was the correct forum for a complaint brough by an ex-employing alleging the firm had used false interviews to boost its diversity credentials. Now the whistleblower will have his day in court.

LPL executives have said they're well on the way to retaining 90% of the client assets they're seeking to bring over from their recent purchase of Commonwealth. But advisor departures have ticked upward.