Portfolio

The federal regulator reopens the comment period for its rule on safeguarding client assets in response to its new auditing requirement for private funds.

The company is ditching standard account packages and will instead adopt "relationship tiers" that are based on customer's deposit and investment accounts.

Extra diligence on the advisor's end can help HNW clients avoid potentially disastrous lawsuits

Americans owe over $1.6 trillion on federal student loans, and repayment starts this fall. There are options for blunting the burden on clients.

Commissioner Hester Peirce warns an unintended consequence of the new regulation could be less thorough internal compliance reviews.

According to the SEC, agreements that violated the cash solicitation rule generated 66,000 new clients and $300 million in AUM for the offending firm.

The firm follows its major move to the Midwest by expanding its executive leadership team.

The third time was the charm for LPL, which failed twice to win the big team it finally recruited this month. Here's what worked this time around.

No matter how good generative artificial intelligence gets, consumers navigating the purchase of complex financial products will always demand the attention of expert human advisors.

A brokerage client's portfolio was gradually invested almost exclusively in the fund manager WisdomTree over a decade.