Get Ready! FINRA's New Home Office Rules Are Nearly Here
By Melanie WaddellThe new rules "will be key in defining ... how firms conduct branch office inspections," says ACA Group's Patrycja Savignano.
April 04, 2024
SEC Hits RIA With $6.5M Texting FineSenvest employees communicated about company business internally and externally using personal texting platforms.
April 03, 2024
AdvisorEngine Updates Its Planning ToolAdvisors and clients can easily create and fund a plan in one platform, the Franklin Templeton subsidiary says.
April 03, 2024
Don't Worry About Fewer Rate Cuts: Morgan StanleyThe need for fewer interest rate cuts is generally reason for optimism, says Senior Portfolio Manager Andrew Slimmon.
April 03, 2024
7 Tips for Advisors Planning to Break AwayThe growing independent RIA space includes both entrepreneurial younger advisors and those within sight of retirement.
April 03, 2024
Do You Need $1.5M to Retire? 5 Experts Weigh In on the New Magic NumberChristine Benz, David Blanchett, Michael Finke, Jamie Hopkins and Marcia Mantell discuss the latest retirement target.
April 03, 2024
Commonwealth Must Pay SEC $93M Over Revenue SharingCEO Wayne Bloom said the firm is "exploring all options to continue to defend our position."