AI Helps Advisor Efficiency, but Here's the Flip Side
By Michael S. Fischer"AI is helping advisors run faster, but the treadmill is speeding up too," Joe Agostinelli of Morningstar says.
October 02, 2026
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Outside Business Activities: What to Know Under FINRA's New RulesThe rules narrow BDs' oversight, but firms should flag certain gigs for review.
October 02, 2026
What Still Scares Retired Clients? SpendingAdvisors share ideas about how to help the timid.
October 02, 2026
SEC Bars Ex-Cetera Advisor Accused of $2.4M Fraud Against Elderly ClientClarice Saw, previously affiliated with Citigroup and LPL, was subject to a civil judgment earlier this year.
October 02, 2026
SEC Lays Out Exam Ground RulesA new exam handbook details what to expect, including some new or clarified terms.
October 02, 2026
Should Your Client Take a Lump-Sum Pension Buyout?Most clients should stick with the income stream, advisors say, but those who cash out must avoid a critical mistake.
October 02, 2026
Wealth Enhancement Acquires $22B RWA Wealth PartnersAfter closing, the independent firm will have over $187.1 billion in client advisory, trust and brokerage assets.
October 02, 2026
Merrill Agrees to $39M Settlement in Cash Sweeps SuitMerrill Edge failed to pay reasonable interest rates on uninvested cash, plaintiffs argued.