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  • News
  • July 23, 2021

Trade groups step up fight against bill they say threatens independent advisers

Opponents say the measure known as the PRO Act, could negate independent-contractor agreements between advisers and financial firms.

  • News
  • July 23, 2021

Spark announces best practices to protect against retirement fraud

The Spark Institute's standards build upon DOL cybersecurity guidance to provide more clear-cut practices designed to defeat retirement account fraud.

  • News
  • July 23, 2021

Focus Financial continues expansion into Canada

Acquisition of Toronto-based Gavin Hockey Wealth Specialists gives Focus Financial another foothold in a market moving toward independence.

  • News
  • July 23, 2021

Emigrant Partners takes stake in Tennessee RIA

Memphis-based Gerber Taylor Capital Advisors oversees $13.8 billion in assets.

  • News
  • July 23, 2021

JPMorgan to double advisers in broker unit

The bank is planning to hire more than 500 advisers in its traditional brokerage business in coming years, bringing the total in that unit to 1,000.

  • News
  • July 22, 2021

Goldman spinoff Simon Markets raises $100 million in latest funding round

The financial technology platform, which provides financial advisers with access to alternative investments, saw its valuation top $800 million with the funding round led by WestCap.

  • News
  • July 22, 2021

A-Rod backs online brokerage Tornado in $10 million funding round

The seed round also featured other prominent participants like founder of Barstool Sports Dave Portnoy and New Enterprise Associates managing general partner Tony Florence.

  • News
  • July 22, 2021

Finra CEO wants to extend remote branch office inspections into 2022

Temporary relief from onsite examinations, which began at the start of the pandemic, is set to expire in December.

  • News
  • July 22, 2021

Gimme pension? Annuities group to sponsor Rolling Stones tour

The 12-city tour was postponed last year because of the Covid-19 pandemic.

  • News
  • July 22, 2021

As in-person conferences restart, attendees want one thing above all else

New report shows financial adviser conference attendees are less impressed with sponsor status than they are with solid content from those sponsors.