Texting Crackdown a 'Cash Cow' for the SEC: Commissioner Peirce
By Melanie WaddellAt a congressional hearing, Peirce said the agency should be taking a regulatory approach instead of levying fines.
September 23, 2024
80% of Americans Worry Election Will Affect Retirement: SurveyChanges to the tax code and inflation are major concerns, Wealth Enhancement reports.
September 23, 2024
DOL Appeals Two Rulings Halting Fiduciary RuleTwo federal court decisions temporarily stopped the rule from taking effect.
September 20, 2024
Former Morgan Stanley CEO John Mack Lists $29.5M Caribbean MansionThe Macks spent almost as much time renovating the beachside house as they spent using it, but now say it's time to let it go.
September 20, 2024
CAIS Expands Alternative Strategy OfferingsSeveral alternative investment managers have introduced or expanded strategies on the CAIS platform.
September 20, 2024
Cerity Partners to Merge With Venture Capital Advisory ShopThe merger with Touchdown Ventures will expand the firm's offering to corporations and businesses.
September 20, 2024
SEC Fines Firm for Not Inspecting AdvisorsJordan/Zalaznick Advisers failed to spot-check the books and records or conduct inspections of advisors it supervised.
September 20, 2024
Envestnet Updates RIA Platform to Optimize WorkflowsNew and updated tools aim to free up advisors' time for client relationships, Envestnet says.