Risk management

Amid high interest rates, publicly traded real estate investment trusts have been pummeled the last two years. Analysts meanwhile think their private cousins are in for further correction.

The broker-dealer self-regulator accused the firm of failing to properly record more than 830,000 transactions, among other violations.

Without inflation adjustments to income and net worth criteria, the number of people who qualify to put their money into sophisticated and risky investments has skyrocketed.

It's cheers for pro bono advisors and people working to diversify the industry, and jeers for planners who defraud the elderly and big firms that let their regulatory responsibilities slip.

Electronic messaging, Reg BI, crypto and fraud all appeared at the top of regulators' agenda this past year.

The plaintiff in the class-action suit notes that returns at rival institutions rose when inflation started driving prices up last year. Her rates did not.

Some think lending to businesses outside the banking system can reap outsize rewards for advisors who are willing to do their homework.

Older wealth management clients fear serious health problems that could come with living longer. Advisors have a big role to play in helping them.

The proposals would let firms sign up for a pilot program to test remote branch inspections and require less frequent in-person exams of supervisors' home offices.

Regulators promise to pay special attention to how firms are using technology to not only guide investments but also to protect client data.