FINRA Sends Revised Outside Business Activity Rule to SEC
By Melanie WaddellFINRA's new plan clarifies "a number of sticking points," including supervisory requirements for outside RIA activity, says ACA's Cooke.
January 14, 2026
FINRA and SEC May Think More About Fixed Annuities This YearBut NAFA's chair hopes issuers can spend less time on regulatory threats and more on opportunities.
January 13, 2026
Retail Channel Market Share Nears Parity With Institutional: CerulliWirehouses are managing $6.1 trillion in retail assets while independent RIAs manage $3.5 trillion, research finds.
January 13, 2026
Creative Planning Scoops Up Swiss Wealth FirmThe deal is the mega-RIA's first international acquisition.
January 12, 2026
To Navigate Volatility, Find the Signal in the NoisePortfolios benefit by sticking to fundamentals while responding to risk, according to Alexandra Wilson-Elizondo of Goldman Sachs.
January 09, 2026
BNY Pershing to Launch RIA Referral ProgramExecutive Ben Harrison says significant scale gives BNY Pershing a unique opportunity to match advisors and investors.
January 09, 2026
Double-Murder Trial Set for Former LPL Network Firm EmployeeRamy Hany Mounir Fahim is accused of murdering a Pence Wealth Management co-worker and his roommate.
January 08, 2026
3 Mega-RIAs Join Goldman Sachs Referral ProgramCreative Planning, Mercer and Wealth Enhancement Group are among the first to join.