AdvisersGiveBack.org wants to help volunteer advisors deliver personalized financial plans to individuals who arguably need it the most.

Broker/dealer Waddell & Reed, an 83-year-old firm, will sell its brokerage business to LPL and its asset management unit to Macquarie.

The new location is the 42nd office and Mariner's first in Utah.

Two Seattle-area registered investment advisors come together under the Laird Norton name.

The proposal is based on the NAIC's model regulation intended to align with Reg BI. But if a Biden administration urges changes to the SEC rule, how will states approach amending their own annuity regulations?

Regardless of what the pandemic will bring, or not bring, in 2021, the wealth management industry has been changed forever.

The SEC claims that Eugenio Garcia Jimenez Jr., an unregistered investment advisor, misappropriated $7.1 million of funds belonging to the Municipality of Mayagüez, Puerto Rico.

Thomas A. Sporkin will join the board in January as the managing director, enforcement, and will be tasked with modernizing the board's detection, investigation and prosecution processes.