SEC Won't Modify Texting Settlements for LPL, Raymond James, 14 Others
By Melanie WaddellSixteen firms sought to change their off-channel messaging orders, saying firms that settled later got better terms.
April 16, 2025
SEC Backs Off Dealer Rule, but Legal Uncertainty Remains — SEC RoundupThe fight over who qualifies as a securities dealer isn’t finished.
April 16, 2025
12 Trends Shaping the Future of 401(k)sThe $10 trillion retirement plan market is "at a crossroads," said KWP Growth Partners' Lisa Kottler.
April 16, 2025
Schwab Takes Minority Stake in Wealth.comThe AI estate planning platform's CEO calls the deal “the foundation for something much bigger.”
April 16, 2025
Trump Aims to Cut Medicare Prescription Coverage CostsA new executive order could change Part D benefit rules and a new Medicare drug price negotiation program.
April 15, 2025
Wellington, Vanguard, Blackstone Collaborate on New Multi-Asset Investment ProductsThe three firms' initiative aims to give investors access to institutional-caliber opportunities.
April 15, 2025
Make Tax Season the Starting Line for Year-Round PlanningOngoing conversations provide added value and an elevated experience for clients long after they file their returns.
April 15, 2025
FINRA Reevaluates Its Office CategoriesThe regulator is exploring the impact of new technology and hybrid work on how offices should be supervised.