Regulation

FINRA's annual snapshot shows how the wealth industry is changing, from key business metrics and marketing trends to shifts in registration and a shrinking branch footprint.

As the SEC pushes to widen access to private equity, private credit and other alternative investments, Morgan Stanley and Envestnet are among firms that already have funds no longer aimed exclusively at "accredited investors."

Brooke Pilant, who was at Ameriprise from 2017 to 2024, accused the firm of turning against her after she raised concerns about "unethical practices."

On June 30, the SEC asked for public comments on the regulator's proposed amendments to novel ETFs. About a week in, responses tilt to a hard "no thank you."

As the RIA industry's own declaration of independence turns 86, its underpinnings have never been at greater risk, writes fiduciary maven Knut Rostad.

A survey found that a majority of investors disagreed with requiring scaling back to semiannual reporting for public companies.

Whether advisors choose individual stocks or not, the SEC's proposal to allow semiannual reporting rather than quarterly could impact clients' portfolios.

JPMorgan wants a judge to overturn the FINRA arbitration award it was hit with after firing one of its brokers over expenses stemming from a Super Bowl-timed client meeting.

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.