'FINRA exam staff also placed greater focus on branch-level activity – increased the number of branch exams, and refocused our exams at point-of-sale, spending more time on site at the branch offices and, depending on the firm, less time at the main office. There were approximately 350 more branch office exams conducted this year compared to 2010, bringing the total branch office exams to nearly 800.'
Firm admits repeated Bank Secrecy Act violations after regulators say it missed the same kind of wire-monitoring failures flagged in 2018.
The proposals extend a wave of regulatory relief in 2026 that has already loosened capital requirements for community banks.
The advisor marketing platform is expanding its leadership team to accelerate enterprise sales and AI-driven compliance tools.
Why “one big pool of money” needs predictability—and a plan.
Advisor recruiting climbed to its strongest pace in nearly two years, while CEO Richard Steinmeier said the firm has "cleared the decks" for bigger institutional deals.
Northern Trust’s Ken Lassner shows advisors how to convert volatility into after-tax portfolio gains
Dan Biagini of American Equity says the steady decline of pensions, longer lifespans and a reset in interest rates are rewriting how advisors build retirement income
