The CFPB, set up in 2010 in the wake of the 2008 financial crisis in large part to protect consumers from predatory financial practices, will slash inspections of financial services firms in half, ...

Disagreements among GOP ranks have also flared among deficit hawks and some Senate Republicans resorting to "a new budget gimmick" to obscure the full weight of the taxes by financing certain ...

Charles Schwab has made a minority investment in the estate planning platform Wealth.com. The partnership will expand Wealth.com's trust and estate offerings, making it easier for firms and advisors ...

LPL Financial is channeling restaurateur Will Guidara 's concept of "unreasonable hospitality" to elevate its service, said Chief Executive Officer Rich Steinmeier, charging an ever-expanding roster ...

Last month, Finra put out a call for comment for a "broad review" of its processes focusing on the "modern workplace," which in addition to rules applying to branch offices and remote work also ...

Stifel Financial announced that it has added two Dallas-based advisor practices from Merrill Lynch, where they had a combined $2.9 billion in client assets.

"We're going to see where the president is" on the issue, Treasury Secretary Scott Bessent told Bloomberg during a trip to Argentina Monday at the U.S. ambassador's residence in Buenos Aires.

Ameriprise last week sent a "Notice of Data Breach" to thousands of current LPL customers whose financial advisor switched to LPL from Ameriprise between 2018 and 2020, according to a complaint filed ...

The firm currently has five investment programs: the Advisory Solutions mutual fund wrap program, the Guided Fund and Guided Flex rep-as-advisor programs, the FA Managed Solutions advisor-discretion ...

Christa Carone, Gary Carrai, Brett Goodman, Scott Posner and Brent Simonich have been promoted from executive vice presidents to managing directors, LPL announced Tuesday. Current managing directors ...

Eliezer Mishory, the former chief regulatory officer for derivatives exchange firm Kalshi who now heads the DOGE team at the SEC, requested access to staff emails, personnel data, contracts and ...

Vanguard is joining forces with its longtime subadvisor Wellington and private equity giant Blackstone to develop multi-asset solutions blending public- and private-markets holdings with index ...