The agency is reverting to a Trump-era policy that allowed public companies to widely exclude environmentally and socially themed resolutions.
The $38 billion national RIA's latest fintech partnership joins a broader trend of platforms helping firms and advisors pursue organic growth with artificial intelligence.
Recent natural disasters show the importance of being ready financially for worst-case scenarios.
Financial services companies are the latest to be caught up in Republicans' war on DEI.
John Thiel is only the latest in a line of one-time senior executives at wirehouses who have crossed Wall Street and are now working for the competition.
Financial services companies are being targeted for potential legal action over their programs and initiatives on diversity, equity, and inclusion. It could be just the beginning.
The industry watchdog's own reports reflect failures to deter "willful" and "repeat" violations, raising a crucial question about the future of regulation.
Acting Chairman Mark Uyeda directed SEC staff to initiate a pause in court while the commission awaits a quorum. The SEC may decide to withdraw from defending itself in a lawsuit over last year's climate disclosure rule.
The top estate planning platform's veteran hire will lead its legal team's efforts to develop estate planning, tax analysis, and wealth transfer solutions for ultra-high-net-worth clients.
“If Morgan Stanley had called my client’s son, this wouldn’t have happened,” the investor's attorney said.
Meanwhile, Ameriprise has bolstered its own ranks as an LPL defector joins its branch channel in California.
Locked out of their offices and told to stay home, employees at the Consumer Financial Protection Bureau have asked the courts to intervene as Elon Musk and Republican leaders move to shut down the agency that was established to protect people from predatory lending and financial scams.
Research reveals a third of investors uncertain they can retire where they live, with deeper doubts among those in high-tax and high-cost areas.
Fintech platform interVal has also introduced a new feature to help advisors support entrepreneurial business owner clients better.
Along with greater revenue, alternative investments also carry risks, one industry lawyer noted.
While the regulator's lawyers may be exempt, a federal effort to purge workers is causing uncertainty across its broader employee base.
National Securities Corp. sued the advisor in 2020, alleging breach of contract and unjust enrichment.
The hybrid RIA is the latest firm to face allegations that it enriched itself at customers' expense by paying unfairly low interest rates in its cash sweep programs.
The clearing and custody giant is kicking the tires on new cash sweep plan with broker-dealer clients.
LPL Financial welcomes a $345 million investment and planning team from Ameriprise as RayJay's employee advisor arm adds a seasoned Well Fargo breakaway.
