Trade Groups Plead With SEC to Rethink Custody Rule Plan
By Melanie WaddellIndustry groups also want the SEC to withdraw its plan that addresses conflicts when BDs and advisors use AI.
September 11, 2023
SEC Charges 9 More Firms With Marketing Rule ViolationsThe SEC fined the RIAs for advertising hypothetical performance on their websites without following proper procedures.
September 11, 2023
Carson Coaching Teams With Idea Decanter on Video MarketingThe video marketing agency will provide video and coaching services to Carson members.
September 11, 2023
Wealthtender Buys Online Advisor Community AGCMembers of AGC, co-founded by Taylor Schulte and Justin Castelli, will gain access to Wealthtender's marketing tools.
September 11, 2023
Wells Fargo's $1B Fake-Accounts Settlement Gets Judge's OKThe securities class-action settlement brings the total the bank has agreed to pay to nearly $5 billion.
September 11, 2023
U.S. Stocks Likely to Dip Further: OppenheimerWall Street's most bullish strategist says the recent pullback has further to go.
September 11, 2023
How to Tweak Portfolios Now: Morgan StanleyStrategist Michael Wilson says markets aren't reflecting the risk of a recession and recommends this "barbell" approach.
September 10, 2023
Orion Taps AssetMark CEO to Replace Eric ClarkeWhen Natalie Wolfsen joins the firm in mid-October, Clarke will take on a "supporting leadership role."