Wall Street has been on edge since SEC Chair Gary Gensler signaled last year that the agency may outlaw payment for order flow during its equities rules overhaul.

Some tips to help advisors stay compliant and avoid big fines.

In October, the first cohort of 49 advisors will graduate from the new program, part of the firm's strategic emphasis on expanding resources for advisors to clients with more than $5 million in assets.

The seven advisors collectively had about $1.2 billion in managed assets, according to the Wells Fargo Advisors' suit against former in-house counsel Steven Satter, who joined his colleagues at the independent firm.

NASAA's annual enforcement report charted the continued problem of promissory note fraud, and the rise of interest in the metaverse in the securities markets.

Properly defining your available target market and leveraging data to engage them are more important than ever.