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Banks weren't involved in the trading frenzy, but some observers say the regulatory response should address risks to all financial institutions.

Wealth managers acting as “downstream broker-dealers” allegedly made $187 million in commissions and other selling fees on GPB Capital investments.

In the new Form CRS, firms must justify whether they place client assets in advisory or broker accounts.

Recruiting and retention of talent looms large for Advisor Group after it rolled up three firms in the wake of a massive acquisition.

Approval for similar access at competitors such as Schwab and Morgan Stanley’s E-Trade can take days.

APIs, proprietary funds, customer service issues: executives explain what they’re planning as their company hits $6.7 trillion in client assets.

The 20 categories with the biggest gains are home to nearly $10 trillion in combined assets.

Scott Ford is the new president of the 1,400-employeee wealth management unit that caters to affluent clientele of the Minneapolis company.

The team caters to wealthy clients and athletes, and specializes in private placement life insurance.

This could be "could be much larger than we expect,” Zach Perret says.

Consumer advocates are calling for Gary Gensler to toss out Reg BI as wealth managers aim to keep the prior administration’s rule in place.

The recent tumult involving GameStop and Robinhood has raised questions about whether broader risks for the financial system are brewing.

The bank is ramping up its consumer business lines, evidenced by the adoption of Joe Duran’s holistic “Money Mind” approach.

The acquisition of another midsize wealth manager will boost the holding company above 2,500 reps with nearly $95 billion in AUA.

The combined company will service $4 trillion in assets and is valued at $1 billion.

Does a poor stock pick, for instance, constitute a sales practice violation?

The new hires include industry veterans and they join a growing branch in Dallas.

The brokers collectively generated more than $88 million in annual revenue while overseeing nearly $15 billion in assets under management.

Growth, quality and low-volatility stock funds had one of their worst months of flows on record, while those tracking value had one of their best.

Regulators and Washington policy makers are sure to up scrutiny once the dust settles on the market turmoil that has buffeted GameStop and others.