Creative control, income and capital gains are among the considerations for songwriters and recording artists.
Despite some minor glitches and some email outreach confusion, most advisors are handling the change well.
'Efforts to address the standard of care concepts established by Reg BI remain perfunctory,' the NASAA report states.
The firm, Wiley Bros.-Aintree Capital, is based in Nashville and has been in business since 1945.
Carrie Tolstedt, the bank's former head of retail banking, pled guilty this year to obstructing the investigation of the bank's fake accounts.
Trade groups argue the SEC went too far when it rolled out rules mandating disclosures and barring firms from doing sweetheart deals with some investors.
'Crypto is on a journey from a niche asset class to a mainstream asset class,' says an advisor.
Network 1 Financial Securities did not have a written system to identify and flag excessive trading, resulting in $533,500 in commissions for the firm, regulator says.
The company filled its retirement plan menu entirely with its own funds, some of which underperformed and had high fees, a plaintiff alleges.
Support is down among big fund companies, but they haven't really changed their stances, and they're far from leading on sustainability issues.
The latest delay came as a disappointment after Grayscale won a court ruling this week overturning the SEC's rejection of its application to convert its bitcoin trust into an ETF.
Legacy Wealth Advisors was looking for an easier place to do business and differentiated service, founder Kevin Loyd said.
The firm is targeting 3,000 domestic job cuts and more than $10 billion in cost savings.
Global firm's wealth management unit was among its star performers.
When you’ve added as much capacity as you can through technology, how do you effectively grow your human capital?
'As a mother of three young kids ... I am so pleased to see NASAA recognizing the need for some flexibility,' an advisor says.
The Scottsdale, Arizona-based duo, who have a combined four decades of wealth management experience, join from Valic Financial Advisors
Indiana-based Pendill Wealth Management has offices in Bloomington and Mooresville.
Politicians and regulators shouldn't be unduly favoring or burdening particular investment vehicles.
Some investors mistakenly believe they can achieve superior results by trying to time the market, but this approach inevitably leads to missed opportunities.
