New research calls for greater regulatory oversight of the relationship between ETF issuers and authorized participants.

However, the firm saw steep drops in both its advisory and brokerage assets, with the total falling by 8% compared to March and by 4% year-over-year.

Male and female advisors approach the impact of other people on their success quite differently, according to survey findings.

A roundup of key updates from major broker-dealers, registered investment advisors, custodians and other distributors.

The unit saw healthy growth in revenues despite a significant drop in client assets during its fiscal third quarter that ended in June.

The firm also continued adding financial advisors in the second quarter.

The firm’s advisor ranks remained flat from the end of March, meanwhile.

Dan Gallagher — who left the commission for the private sector in 2015 — said that the regulator's proposed rulemaking related to the January 2021 meme-stock frenzy makes him laugh.

The bank also revealed that it’s under investigation over its employees’ use of unapproved communication channels.

The company allegedly failed to disclose conflicts of interest and breached its duty to seek best execution.