SEC Could Hire More RIA Examiners With Budget Boost: Gensler
By Melanie WaddellSignificant growth in RIAs "stretches thin the limited resources" of the exam division, SEC chairman tells lawmakers.
March 27, 2023
3 Compliance Failures of Newly Registered Advisors: SECMonday's exam alert also says these advisors' disclosures include omissions and inaccuracies related to fees and compensation.
March 27, 2023
Schwab Wins $7M From Morgan Stanley, Ex-AdvisorsChristopher Armstrong and Randall Kiefner, fired by Morgan Stanley for violating its transition policy, refuse to pay their share. "
March 23, 2023
TAMP GeoWealth Buys First AscentAssets for the combined RIA-focused entity should total $21 billion.
March 23, 2023
Schwab Could Survive Fleeing Depositors: CEOEven if all depositors fled, Schwab would have adequate liquidity, CEO Walt Bettinger told The Wall Street Journal.
March 23, 2023
Broadridge Teams With Apex on Tax Reporting: Tech RoundupAlso, Orion announced leadership changes in its wealth unit, and Absolute Engagement launched an "engagement engine."
March 22, 2023
Wrap Fees on Indexed Annuities Are 'Ridiculous,' Stan the Annuity Man SaysStan Haithcock tells ThinkAdvisor why sales are surging and offers more blunt takes on the annuity space.
March 22, 2023
3 Ways RIAs Without a BD Have an EdgeIndependent RIAs enjoy benefits tied to dual clearing, open technology and compliance arrangements.