State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
12 States Where Advisor Income Grew the Most in 2025
By Michael S. FischerOf the 40 states with available data, SmartAsset reports, all but 11 saw advisors' median income increase.
June 10, 2026
Hightower Expands Family OfficeAimed at serving UHNW clients, the enhanced offering builds on relationships with NEPC and the family office firm GTBA.
June 09, 2026
Inmate Who Siphoned $11M From Schwab Account Has Escaped: FBIArthur Lee Cofield had been convicted of stealing a wealthy Schwab client's identity while in prison.
June 09, 2026
America's 10 Best Restaurants: 2026This year's list was compiled from the votes of a 300-member academy of regional restaurant industry experts.
June 08, 2026
Third of Gen Xers, Half of Millennials Rely on Parents Financially: StudyAdvisors agree that it's a common situation across the income spectrum.
June 08, 2026
LPL Faces Suit Over Clients' PHL Life and Annuity HoldingsThe plaintiffs say LPL advisors "intentionally left them in the dark" about the issuer's finances.
June 08, 2026
Carson Acquires $1.1B Osaic AffiliateMichael Belluomini, a Carson executive, said the firms had been in talks on the deal for almost a year.
June 08, 2026
Cetera Hit With Class-Action Suit Over Cash Sweep ProgramThe BD paid interest rates as low as 0.06% as the federal funds rate surged, the suit says.