Reg D Changes Are a Bad Idea: SEC Roundup
By Nick Morgan and Tom ZaccaroMorgan and Zaccaro talk with venture capital advocate Justin Field about potential SEC changes to these small offerings.
February 10, 2023
Why Regulation Best Execution Makes Payment for Order Flow Difficult: SEC RoundupNick Morgan and Tom Zaccaro talk with Bloomberg columnist Nir Kaissar about the interaction of two controversial proposals.
January 23, 2023
March CAT Deadline Raises Investor Privacy Alarm: SEC RoundupKen Bentsen and Ellen Greene of SIFMA discuss how the SEC can protect investor privacy now.
January 11, 2023
Women in Wealth (Video)Allison Daniels, a Partner with Marcus, Inman & Daniels Wealth Advisors, offers her insights into building an independent business with Wells Fargo…
January 11, 2023
Independent Broker Dealer (Video)Michael Cowan, Managing Principal at Gardens Wealth Management, details how his practice has leveraged the resources available through Wells Fargo Advisors…
December 21, 2022
Fidelity's Denise Chisholm Shows How Historical Data Can Help Explain Today's MarketAs part of the "Meet the Luminaries" video series, Denise Chisholm, Director of Quantitative Market Strategy at Fidelity Investments, discusses her recognition as part of the Luminaries Class of 2022 – she won in the category of Thought Leadership – and what role historic data plays in helping advisors make smart decisions during uncertain economic times.
December 16, 2022
How Enforcement Will Play Out in 2023: SEC RoundupLook for "more unique and out-of-the box applications of the insider trading theory," says Tom Zaccaro.
November 23, 2022
How Orion Looks to Apply Behavior Finance to Today's MarketsAs part of the "Meet the Luminaries" video series, Orion Advisor Solutions CEO Eric Clarke and Dr. Daniel Crosby, Chief Behavioral Officer at Orion, discuss their recognition as part of the Luminaries Class of 2022, and how they view the role of behavioral finance in today's market.