June 8, 2020
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Featured News
Battle of the business models
RIAs keep gaining, while small broker-dealers are feeling increased pressure from the pandemic as well as the need to comply with Reg BI
Nationwide protests over race highlight hurdles faced by nonwhite advisers
As racial injustice fires up protesters and looters, financial advisers face the fallout with clients whose small businesses experience economic loss
Judges skeptical Congress mandated a uniform fiduciary standard rather than Reg BI
Plaintiffs in the lawsuit argue the SEC exceeded authority by giving brokers too much latitude on advice
Schwab-TD deal wins DOJ antitrust approval
The completion of the investigation is an “important milestone” toward the proposed acquisition, said Charles Schwab CEO Walt Bettinger
Captrust confirms more and larger acquisitions on the horizon
With its first taste of PE capital, the $390 billion aggregator is poised for ramped up activity
