Over 85 million pledged shares allegedly sold through an unauthorized account at the bank
Category: Investment News
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SEC enforcement director resigns after just six months in the role
Judge Margaret “Meg” Ryan has been acting head of the SEC’s enforcement division since Sept. 2, 2025.
Edelman grants equity to over 360 financial planners in ownership program
The $326 billion mega-RIA is committing $175 million in equity to advisors as firms across the industry increasingly use ownership stakes to recruit and retain […]
SEC wants more ‘realistic’ view of small advisory firms by redefining them, says commissioner
“The definition is so out of date,” SEC Commissioner Hester Peirce told InvestmentNews.
Lead broker-dealer of Inspired Healthcare deals ordered to turn over documents
Emerson Equity “was substantively involved” with Inspired Healthcare and the operation of its business and fundraising, according to a court filing.
JPMorgan weighs prediction market rules as regulators tighten oversight
Big banks and watchdogs are racing to catch up as the action on prediction platforms blurs lines between market intelligence and personal bets.
Active ETF assets on track to hit $10 trillion by 2033, BBH survey suggests
Study shows investors planning to fund higher active ETF exposure by trimming mutual funds, while also signaling strong interest in private equity and private credit […]
Markets misread AI’s impact on brokerages, Morgan Stanley says
Analysis finds scale and sweep‑balance edge position firms such as Schwab and LPL to benefit as AI boosts advisor capacity and trims costs.
Envestnet brings interval funds onto UMA platform as focus sharpens on private credit
Move aims to bundle semi-liquid private markets into everyday portfolio workflows while Envestnet handles research, trading and rebalancing behind the scenes.
Space ETFs in the spotlight as potential SpaceX IPO looms
“There’s a lot of great stuff going on for the space industry,” said fund manager Andrew Chanin.
This is how advisors are tackling client demand for ETFs, says Independent Advisor Alliance
“The great advisor is going to be ahead of what their clients are asking,” says David Buzo, chief marketing officer at Independent Advisor Alliance.
Wealth advisors weigh in on the importance of continuing education
Financial advisors used to look at continuing education as a chore. Now they are talking about the importance of lifelong learning as the industry grows […]