XY Planning Founders Launch Compliant Payment Processing for Advisors
Michael Kitces and Alan Moore want to help fee-for-service advisors say goodbye to paper checks with AdvicePay.
SEC Shows Off Cybersecurity Muscle Following EDGAR Breach
Still, there are questions on how many cases will be brought by the new cyber unit.
SEC Creating Searchable Database of Bad Brokers
The site “will be particularly valuable” for spotting fraudsters who have been stripped of their registrations, SEC Chairman Clayton said.
SEC OKs FINRA Rule on Capital Acquisition Brokers’ Pay-to-Play Activities
Government plan solicitors can “continue their activities on behalf of RIAs by submitting to the lighter CAB regulatory regime,” says Cipperman.
Tibergien’s Comments on RIAs Are Tough, but Deserve to Be Heard
The Pershing Advisor Solutions CEO's candid comments to me about the industry are sure to upset many RIAs.
Fired JPMorgan Wealth Manager Gets $1.1M
Verdict comes after eight years of delays and appeals; bank lawyers plan to ask judge to set verdict aside.
Under Pressure, LPL Cuts Fees on Corporate RIA Platform
The news comes on the heels of more departures of reps acquired from LPL's purchase of NPH.
SEC Warns Against Paid-to-Click Ad Scams
“Be skeptical if you are offered high returns for buying advertising products or clicking on online ads,” said SEC's Schock.
DOL Rule Delay Will Likely Be Final in 3 Weeks: Acosta
Meanwhile, NAFA asks for a delay of oral arguments, while Thrivent wins some relief from anti-arbitration rules under BICE.
Fintech Deployment Woes? Call In the ‘New Gatekeeper’ Team
The choice of technology solution — whether for CRM, planning or practice management — is often fraught with peril.