Industry Groups Press SEC to Extend Custody Rule Comment Period
By Melanie WaddellRIAs and custodians need more time to understand the controversial proposal, SIFMA, IAA and other groups say.
March 03, 2023
SEC Charges Father-Son Advisory Team With FraudThe duo allegedly impersonated clients in phone calls to their former firm, Waddell & Reed, to execute transactions.
March 02, 2023
SEC to Increase Onsite Advisor ExamsExpect a "significant" increase in onsite exams within the next six months, SEC official Natasha Greiner says.
March 02, 2023
Bob Oros: 2 Challenges Advisors Must Address NowThere are a few things advisors should be doing now that many are not, the Hightower CEO tells ThinkAdvisor.
March 02, 2023
Orion Unveils Custom Indexing Tech for Advisors: Tech RoundupAlso, Orion's wealthtech survey shows tech spending to "remain strong and steady" in 2023 despite "macro-economic headwinds."
March 02, 2023
How Raymond James Is Cultivating Black Advisor TalentAfter holding its ninth symposium for Black advisors, the firm says it's zeroing in on colleges and universities.
March 01, 2023
13 Things Clients Don't Get About Taxes: Advisors' AdviceWe asked advisors how they cleared up their clients' biggest tax misconceptions.
March 01, 2023
Does BlackRock's Sale of FutureAdvisor to Ritholtz Deal Death Blow to Robos?The deal signals "big asset managers' digital efforts are over," says Tim Welsh of Nexus Strategy. Others disagree.