SEC Urges Advisors to Fine-Tune Compliance Reviews
By Melanie WaddellA risk alert points to ongoing challenges in keeping in step with the Compliance Rule.
September 14, 2026
LPL Courts Lawmakers to Hash Out PrioritiesTom Gannon, the firm's chief advocacy officer, discusses four policy issues that are top of mind for advisors.
September 14, 2026
Widowed Americans Feel Confident, but Here's What They Need From AdvisorsAlmost 6 in 10 wish they had someone with whom to share financial decisions, an Ameriprise survey finds.
September 14, 2026
How to Modernize Digital Workflows and Reduce Off-Channel RiskCombing clear policies with consistent procedures is not compliance as burden; it's compliance as practice infrastructure.
September 14, 2026
Ex-LPL CEO Dan Arnold Has a New GigArnold, who was fired by LPL in 2024, will focus on advisor recruiting and strategic partnerships at Stirlingshire Investments.
September 14, 2026
Despite Major Risks, Financial Pros Doubt AI Will Be SlowedLeaders acknowledge concerns after Anthropic's CEO called for "pacing" further AI development.
September 14, 2026
Advisors Know Succession Planning Matters. Why Are So Few Prepared?Less than 40% of advisors planning an exit in the next five years have a successor in mind, a new survey finds.
September 14, 2026
UBS Nabs $1.4B Team From Morgan StanleyColorado-based Mason Cisney Alcon Wealth Management Group will join the UBS Mountain West market.