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FINRA's settlement with Merrill gives the wirehouse credit for "extraordinary cooperation" with its investigation.

Morningstar's study suggests that emotional or personal motivations are just as important or even more significant than a need for "functional" professional services.

He owns the home. She pays half the mortgage. Is that fair?

David Kelly of JPMorgan thinks investors can safely navigate private markets — provided they work with the right managers.

Identifying world-improving, moneymaking technologies is only half the investment battle: Old- school industry analysis is still required.

As wealth management firms rush to keep up with new technological developments, one common oversight is not testing the tech with the people most likely to use it: the advisors.

The National Association of Treasurers launched a new tool that allows individuals to compare the features of different states' ABLE programs.

Experts from Fidelity Investments, JPMorgan Asset Management and Brown Capital Management argue the answer is definitely "yes." Here's why.

Huntington Investment Company is accusing a former advisor of resigning with no advance notice and then using confidential information to drum business from ex-clients.

The DOJ may say pot is less dangerous for people than it's historically claimed, suggesting it may be less dangerous as an investment, too.

The court made it tougher for the administration to defend regulations it issued in recent months to tackle climate change, forgive student debt, crack down on so-called junk fees and write tax regulations.

CEO Larry Fink predicts will prove the key to 'democratizing' alternative investments.

iCapital's Jason Broder talks about the fintech's massive expansion to help advisors implement alternative investments in traditional portfolio management.

Experts from Vanguard say financial advisors and clients see opportunities in active fixed income amid cooling inflation and expected rate cuts.

Robinhood Markets agreed to buy the artificial intelligence research platform Pluto Capital to bring more tailored investment strategies and analysis to the retail brokerage's users.

With rate cuts still on the horizon, some advisors wonder if it's time to look for returns beyond high-yield savings and money market accounts.

The Treasury and the Internal Revenue Service issued final regulations on reporting by brokers on dispositions of digital assets such as cryptocurrency for customers in certain sale or exchange transactions.

The Fed's favorite inflation measure ticked downard last month. Will that be enough for it to cut interest rates?

More than a half dozen experts explain the key practice management and professional development implications of behavioral finance and financial therapy.

The broker-dealer self-regulator argues that the enforcement decline is a result of its success in driving bad actors from the industry.