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As it and other critics pursue a coordinated legal strategy, a trade group for independent insurance agents requested an injunction to put the regulation on hold.

Nearly one out of three advisors at independent broker-dealers has thought about going solo in the past year, a new survey finds.

Raymond James' outgoing CEO Paul Reilly and incoming CEO Paul Shoukry talk on their long-term strategy that led to growth, challenges ahead with PE buyouts and an $800M technology budget.

The Internal Revenue Service is looking at improvements in services and technology for both taxpayers and tax professionals.

The general categories represent a starting point for RIAs that may be trying to figure out how they fit into a buyer's long-term plans, a Datos Insights study says.

The banking giant has already settled two other similar disputes with regulators.

As investors try to lock in high yields, actively managed bond funds are making an unexpected comeback.

Wealth management startup Altruist raised $169 million, topping a valuation of more than $1.5 billion.

The self-regulator has stressed a shift away from mere compliance and toward active self-surveillance to uncover improper off-channel messaging.

Here's what advisors at the $2 million production level can expect to earn at large and regional firms

Back in December 2023, Wall Street was hoping for rate cuts early and often. But as of May 2024, "higher for longer" seems to be the new policy — at least for now.

The merger "will fundamentally transform the RIA ecosystem," tru CEO Craig Stuvland says.

Advisor advocates say they are beginning to look to civil courts and other FINRA alternatives to get erroneous customer complaints removed from their clients' online records.

Higher expenses from the record headcount of financial advisors and a continuous stream of recruits and acquisitions are investing in the firm's future earnings, though.

Analysts find that funds selling call options tend to do poorly in bull markets and lag behind broader market indexes.

The IRS is taking applications for funds for its Tax Counseling for the Elderly and VITA programs.

You'd think making $1 million a year for your firm would be considered a lot. But advisors at that level last year have to bring in a bit more to maintain their take-home pay.

A homeowner in New York asks how to make sure her apartment goes to her kids after she dies — and not to Medicaid.

Michael Nathanson will replace interim chief Dan Glaser but remain the chief of The Colony Group as the RIA aggregator consolidates its ranks out of the public eye.

The text reveals why agency officials believe it's necessary, how it will work in practice, how much it will cost and how it responded to criticism.