The industry group says current rules are outdated and overly broad, urging reforms to better reflect modern communication ...

The Financial Industry Regulatory Authority is probing broker-dealer firms involved in taking small foreign companies public, ...

LPL Financial LLC announced today that Shawn Gentle, AIF® of Gentle Family Wealth Partners has joined LPL Financial’s broker-dealer and Registered Investment Advisor (RIA) platform. He reported ...

Drawing scores of breakaways with $50 billion in prehire assets, the hybrid RIA co-founded by former Wells Fargo leaders has ...

Stifel Financial reportedly is selling its independent brokerage operation to Equitable Advisors, the giant insurer’s hybrid broker-dealer business.

LPL Financial (LPLA) announced that financial advisors Amanda Miller, Devin Richard and Jonathan Vila, CRPC(R), of Frontline Investment Advisors have joined LPL Financial’s broker-dealer, aligned with ...

LPL Financial (LPLA) announced that Shawn Gentle of Gentle Family Wealth Partners has joined LPL Financial’s broker-dealer and Registered ...

Sun Life Financial Inc., Canada's third-largest insurer, is seeking a buyer for a U.S. annuities business that may fetch more than $1 billion, said people with knowledge of the matter. Bank of America ...

On June 12, 2025, the Securities and Exchange Commission (SEC) withdrew 14 outstanding proposed regulations issued during the Biden Administration. These withdrawals underscore a dramatic priority ...

LPL Financial LLC has announced the addition of financial advisor Michael Carmichael, RFC®, CRPS®, founder of Carmichael Financial, to its broker-dealer and RIA platforms. With approximately $190 ...