New SEC Marketing Rule: How to Use Testimonials
By Thomas D. GiachettiThe rule unlocks a broad range of new advertising avenues for advisors but comes with several compliance-related minefields.
November 03, 2022
Schwab's Bettinger: RIA Model Will 'Keep on Winning'RIAs are well positioned to capture assets and attract young talent, Schwab execs Walt Bettinger and Bernie Clark say.
November 03, 2022
Envestnet Shows Off Tech Enhancements at Schwab Impact: Tech RoundupAlso, Allianz, Barings and Broadridge are all investing in FLX Networks' tech platform.
November 03, 2022
LPL to Buy a $40B Branch Office With 800 AdvisorsThe deal is structured as an equity purchase and includes $140 million to be paid at closing.
November 02, 2022
Schwab Considers Loan Options for ClientsOne goal is to prevent advisors from introducing other firms into the client relationship, the company says.
November 02, 2022
Blucora to Change Its Name, Sell TaxAct Software BusinessThe firm will rebrand itself as Avantax, a pure-play, tax-focused BD and investment advisor.
November 01, 2022
Here Are the Finalists for Excell Women in Wealth Management AwardsThe awards are presented by Carson Group, Fidelity Institutional, Mariner Wealth Advisors and Financial Independence Group.
November 01, 2022
LUMINARIES 2022 Finalists: Community Impact — FirmsAn evolution of our Broker-Dealers of the Year awards, the LUMINARIES program is now in its second year.