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The broker-dealer self-regulator said the shortfall is partly the result of increased spending on staff coupled with a decline in the value of its investment portfolio.

Fiduciary responsibility, pay discrimination and FINRA remote work rules for broker-dealers are just some of the issues facing the wealth management industry.

Deals are bigger, quicker and more common. But buyers say valuation expectations often cause them to leave the table.

The agency views the capital providers as a governance risk, and it says there are industrywide social concerns about enforcement cases and cybersecurity.

From securing guardianship rights from hostile family members to ensuring a safe caregiving experience, here's how advisors can help.

The automated investment service is the latest offering from the U.K. challenger bank as it works to break into non-European markets.

The Financial Independence, Retire Early movement presents a unique challenge for advisors: Keep the dream alive, or throw cold water on it?

The bill would not only ban non-competes but also limit the scope of non-solicit agreements.

The principals at Legend Venture Partners stand accused of making millions by offering shares in pre-IPO companies without disclosing markups to investors.

Fidelity is the latest high-profile traditional-finance firm to join the race after BlackRock Inc. made a splash with its June 15 application for a spot ETF, which opened the floodgates for others to try their hand at it, as well.

The technology that powers ChatGPT can sift through and even synthesize massive amounts of data, though it must overcome doubts over reliability, transparency and regulatory risk before it can be harnessed to conduct useful research.

Six southern states — Florida, Texas, Georgia, the Carolinas and Tennessee — are contributing more to the national GDP than the Northeast.

More than 60% of registered investment advisory firms force complaints into forums that cost more and may give them fewer rights than FINRA, the regulator said.

Franklin Templeton investing experts discussed key global market trends that could impact portfolios heading into the second half of the year.

New research explores the potential for generative AI to serve as a strong support system for wealth management clients.

Among the respondents who work with financial planners, about 7 out of 10 said they have high hopes for 2023. For those without planners, the figure fell to 42%.

Plus, eMoney gets a new cash management option, Docupace gets a new CFO and the former Skience president starts a new fintech firm.

An AARP study found that the losses amount to tens of billions of dollars each year, with the vast majority going unreported to authorities or the industry.

Mechanics, considerations and planning opportunities for navigating SALT cap workarounds.

Wealth management's broken career pipeline needs urgent attention as a succession cliff looms, a new Cerulli report says.