'Robust Pipeline' of Rules Ahead: SEC Chief
By Melanie WaddellThe primary goal is "trimming immaterial requirements that burden the market" but don't benefit investors, Atkins said Thursday.
March 17, 2026
Inside the 2026 Enforcement Manual Updates: SEC RoundupA 15-year SEC veteran breaks down what's actually changed — and what it means for advisors, BDs and defense practitioners.
March 17, 2026
Schwab CEO: We Don't Want to Compete With AdvisorsClients turning to Schwab's wealth business have been with the company for years, Rick Wurster said.
March 17, 2026
Dynasty Argues It Can't Be Forced to Arbitrate Merrill Raid CaseDynasty disputes Merrill's contention it agreed to arbitration.
March 16, 2026
At Schwab, Number of 'Small' Advisors Would Triple Under SEC PlanMore than 14,700 firms out of 16,000 in Schwab's network would qualify as a small business.
March 12, 2026
Duran's Rise Takes Stake in Dynasty-Supported RIARIA Cyndeo Wealth Partners is based in Florida and works with about $3.1 billion in client assets.
March 10, 2026
RIA Cresset Names CEOPresident Susie Cranston will take on the role April 15 and will join the UHNW firm's board.
March 09, 2026
Ritholtz-Affiliated Exhibit A Charts Platform Adds FeaturesUpdates by the RIA include custom-branded commentary ghostwritten by firm exec Ben Carlson.