Cybersecurity Rule Could Prompt Firms to 'Cry Wolf': SEC Roundup
By Nick Morgan and Tom ZaccaroFacebook's former chief security officer explains why the rule may result in premature or inadvertently inaccurate disclosures.
November 21, 2023
iCapital Brings Alternative Investment Opportunities to AdvisorsCEO Lawrence Calcano shares how technology innovation and education may help advisors and their clients identify new opportunities in the alternative investment marketplace.
October 19, 2023
How CapWealth Fought 12b-1 Fee Charge: SEC RoundupCapWealth founder Tim Pagliara explains how his firm prevailed over the regulator in federal court.
October 06, 2023
Unicorns May Be Dragged Into Public Markets: SEC RoundupThe SEC is considering a rule changing how shareholders are counted, with big implications for private companies.
September 05, 2023
New Private-Funds Rules Hit With Court Action: SEC RoundupSeveral industry groups filed an action in a federal appellate court challenging the SEC's recent private funds rules.
July 17, 2023
Allison Daniels, Partner, Marcus, Inman & Daniels Wealth Advisors (Video)Allison Daniels, Partner at Marcus, Inman & Daniels Wealth Advisors, speaks about how she took the independent route two years ago, founding a business…
July 17, 2023
Dathan Lumpkins, President, Lumpkins Private Wealth Management (Video)Dathan Lumpkins, President of Lumpkins Private Wealth Management, discusses what independence has meant for him over the last four years and how his business focuses…
July 17, 2023
Michael Cowan, Managing Principal, Gardens Wealth Management (Video)Michael Cowan, Managing Principal at Gardens Wealth Management, speaks about working as an independent financial advisor for the last 13 years and what…