2 More RIAs to Pay Nearly $900,000 Over 12b-1 Fees
By Melanie WaddellThe SEC also charged them with best-execution failures, from which the two Republican commissioners dissented.
February 28, 2023
Supreme Court Limits Fines for Not Reporting Overseas AccountsA businessman living abroad argued that the law left unwitting taxpayers vulnerable to draconian fines.
February 28, 2023
Biden Nominates Julie Su as Labor Secretary, Replacing WalshSu would replace Marty Walsh, who is expected to become the head of the NHL players' union.
February 28, 2023
Integrated Partners Buys $2B RIA Near San DiegoThe acquisition of Laurel Wealth Advisors is Integrated's first.
February 28, 2023
Merrill Names New Private Wealth HeadLindsay Hans will succeed Don Plaus as head of the firm's Private Wealth Management, International and Institutional.
February 28, 2023
FINRA Provides Update on 'Finfluencers' CrackdownNew guidance illustrates some "initial themes" from the ongoing targeted exam.
February 28, 2023
12 Best Metro Areas for First-Time HomebuyersThese areas offer a tantalizing balance of affordability, job opportunities and culture, according to Bankrate.
February 28, 2023
House Passes Notarization Bill by Voice VoteIRI says the measure could make it easier to complete retirement services transactions online.