SEC to Consider RIA Custody Rule Changes Next Week
By Melanie WaddellThe agency will also mull changes to the investment advisor recordkeeping rule and to Form ADV.
February 07, 2023
SEC Reveals Top Exam Priorities for 2023The new Marketing Rule is one compliance area that tops the list.
February 07, 2023
Ex-LPL, Wells Fargo Rep Pleads Guilty to Stealing $600K From ClientsThe now-barred broker used clients' money to fund gambling and personal expenses, according to the Justice Department.
February 07, 2023
Regulators Warn of Self-Directed IRA RisksSelf-directed IRA investors are on their own in following rules and avoiding risky investments, Ed Slott says.
February 06, 2023
United Advisor Group Launches as RIA AggregatorThe new firm has selected Goldman Sachs Advisor Solutions as its custodian.
February 06, 2023
Joe Duran Steps Down as Goldman Partner, Stays as RIA ConsultantThe move comes as Goldman continues its push to become a top custodian to RIAs.
February 03, 2023
Ex-Ladenburg Exec Replaces Jim Dickson as Sanctuary Wealth CEOSanctuary board member Adam Malamed will lead the firm Dickson founded.
February 03, 2023
Merger to Create $73B Alternative Investment FirmFS Investments and Portfolio Advisors did not immediately disclose the financial terms of their deal.