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The National Legal and Policy Center has successfully urged companies like Goldman Sachs and American Express to remove DEI from their board selection process, but now it argues that SEC actions are restricting shareholder rights too much.

Andrea Bethune contends in federal court that Carson Group moved her into a new role to make way for a woman 20 years her junior. Eventually, her position was eliminated.

Wealth management firms are beginning to push AI beyond back-office use and toward growth, panelists at Future Proof Citywide said. Success depends on a thoughtful approach and clean data.

The latest study tracking financial advisor movement from research firm Cerulli Associates suggests that employee brokerages must change with the times.

A well-intentioned tax move can push retirees over a Medicare income threshold, leading to thousands in unexpected annual premiums. Here's how advisors avoid these costs.

Investor advocates think the money should instead go to clients who haven't been paid outstanding arbitration awards.

Following similar glitches at Lloyds and the London Metal Exchange, a tech outage at UBS has renewed scrutiny on modern banking platforms.

Not all tech integrations are created equally. Industry experts discussed what advisors should focus on when evaluating potential additions to their tech stacks.

The Biden Administration rule for a fiduciary standard on one-time retirement-related advice died in two separate court decisions.

Considered a report card on client satisfaction across both advised and DIY customers, the latest JD Power survey points to the growing power of technology to capture new business.

Authenticity and judgment will emerge as differentiators for financial advisors as AI tools reduce the cost of early-stage analysis.

A new annual compensation report by consulting firm Succession Resource Group explains how pay plans can boost — or detract from — the value of an RIA.

The Securities and Exchange Commission and the Commodity Futures Trading Commission issued an interpretation of how federal securities laws apply to crypto.

The RIA technology platform builds on its acquisition of AI-powered liability-optimization fintech Sora Finance last year.

Punitive damages, disclosures over employment terminations, the statute of limitations for bringing claims — FINRA is asking about it all in a series of more than 60 questions about revamps to its arbitration procedures.

A recent alert from the U.S. Securities and Exchange Commission flags ongoing compliance gaps in testimonials, endorsements and third-party ratings as scrutiny shifts to real-world practices.

Federal Judge David Nye sides with a broker fired over five years ago for placing trades without first obtaining his client's permission.

Research shows that many investors fear policy changes could hurt their retirements, but these concerns often go unspoken with financial advisors, creating a planning gap.

Many business owners wind up regretting how they exit from their ownership. That's why experts say financial advisors should ramp up their planning for it.