How Independence Gives Advisors Room for Growth (Video)
By Wells Fargo Advisors Financial Network (sponsored)One of the keys to creating a successful independent business is knowing how to grow. Whether they're attracting clients, hiring employees, or selecting…
June 28, 2023
42 Dropped Cases, 48 Lifted Bars, One Big 'Disaster': SEC RoundupA breach in the SEC's in-house judicial system highlights a major underlying problem, two attorneys say.
June 14, 2023
Battle With Law Firm Over China Hack Comes to a Head: SEC RoundupThe SEC wants information on Covington & Burling's advisor and BD clients hit in a 2020 cyberattack.
May 10, 2023
Climate Impact Rule Likely on the Ropes: SEC RoundupThe SEC didn't adequately consider whether investors even care about climate disclosures, former commissioner Paul Atkins says.
April 06, 2023
Reg D Changes Are a Bad Idea: SEC RoundupMorgan and Zaccaro talk with venture capital advocate Justin Field about potential SEC changes to these small offerings.
March 10, 2023
Custody Rule Plan Changes Are 'Mind Boggling': SEC RoundupThe proposed Safeguarding Client Assets rule would require enormous operational changes, says IAA's Gail Bernstein.
February 24, 2023
Is the Sweep of Advisors' Texting Legal? — SEC RoundupThe SEC is treating advisors like they're subject to BD requirements, says Jennifer Han of the Managed Funds Association.
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.