News

SEC Won't Modify Texting Settlements for LPL, Raymond James, 14 Others

By Melanie Waddell

Sixteen firms sought to change their off-channel messaging orders, saying firms that settled later got better terms. Read More

News

Ex-Morgan Stanley Rep Barred by FINRA for Alleged Profit-Sharing Scheme

By Melanie Waddell

FINRA says Joseph Eisler secretly helped a client trade newly issued stock so he could profit from the arrangement. Read More

News

SEC Pushes Back on DOGE Access to Some Agency Data

By Lydia Beyoud and Anthony Cormier

Eliezer Mishory, who's leading the DOGE team at the SEC, requested staff emails, personnel data and contracts. Read More

News

LPL Calls Ameriprise Data-Breach Notices 'Defamatory'

By Melanie Waddell

"Ameriprise has sunk to a new low" by sending breach notices to clients whose advisors switched firms, LPL says. Read More

News

FINRA Reevaluates Its Office Categories

By Melanie Waddell

The regulator is exploring the impact of new technology and hybrid work on how offices should be supervised. Read More

Video

SEC Backs Off Dealer Rule, but Legal Uncertainty Remains — SEC Roundup

By Nicolas Morgan and Tom Zaccaro

The fight over who qualifies as a securities dealer isn't finished. Read More

Guide

4 Reasons To Sell Simplified Issue Disability Income Insurance (SIDI)

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WEBCAST DATE: April 23, 2025

Guiding Clients Without Heirs | Key Strategies for Advisors

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Join this webcast to discover advanced solutions that streamline planning, enhance client engagement, and improve long-term financial outcomes. Learn More