SEC Hits Wisconsin BD With Reg BI Fine
By Melanie WaddellThe firm's policies and procedures contained Reg BI language but weren't tailored to its business, the SEC said.
September 19, 2023
XYPN Mulls Launch of Corporate RIAThe new option for members would launch in early 2024, co-founders Michael Kitces and Alan Moore said.
September 18, 2023
5 Myths That Stop Women From Becoming AdvisorsMany women are turned off by outdated ideas about what advisors do, Peggy Ruhlin says.
September 15, 2023
How Joe Duran Plans to Boost RIAs' GrowthHis new venture, Rise Growth Partners, will start with a small group of firms in 2024.
September 15, 2023
Here's Why Schwab Continues to Lose TD Advisory AssetsIn August, its core net new assets fell 64% from July to $4.9 billion; they dropped 89% year over year.
September 14, 2023
8 Marketing Rule Documents the SEC Requests During ExamsThe agency has already fined firms that have failed to comply, and it's looking for more offenders.
September 14, 2023
Dynasty Names Industry Veteran Its First Vice ChairmanAndrew Marsh's appointment was one of several executive changes Dynasty announced Thursday.
September 13, 2023
Tifin Gives Small Firms Free Access to Investing Platform Through FPAFPA members with less than $100 million in AUM can use Tifin's investing and planning tools at no charge.