The new interpretations address moving an offering between intermediary platforms; issuer eligibility where Exchange Act reporting has ended; how the 12 month crowdfunding offering cap is measured; and other definitions and filings.
Real advisor names, AI deepfake videos, and a 94% single-day crash — all allegedly connected.
He ranked in the top ten and accumulated nearly $900 million in assets. Then he asked for help — and lost his job.
Firm marks 20th acquisition in around two years and boost AUM to more than $73B.
Peter Corey, chief market strategist at Pave, on hidden portfolio risk and the growing need for adaptive portfolio construction.
Fed vice chair Bowman urges capital rule tweaks to draw lenders back, boost ties.
From clarity for Gen X to community for Millennials and digital-first support for Gen Z, advisors can turn diverse expectations into lasting loyalty and advocacy.
The order for a ban follows guilty plea to wire and investment adviser fraud, with more than $3 million taken from five clients in a multiyear scheme.
The person supposed to prevent fraud orchestrated it. Nobody was watching the watchdog.
Against the backdrop of a successful recruiting effort last year, Kestra has been revamping its lineup of recruiters.
Money flowed to insiders, not crypto exchanges. Court says banks owe no duty to non-customers.
Frozen wallets, missing millions, and undisclosed insider fees fuel the allegations.
Early 2027 estimate points to a 2.8% adjustment to Social Security benefits, which have lagged senior Americans' lived experience on Medicare premiums and uncovered health costs
PE–backed platforms, serial acquirers, and a deeper buyer bench drove record a record 466 wealth management merger deals last year, according to the M&A consultancy firm's latest tally.
The SEC said the alleged did not invest client funds as represented and instead misappropriated the proceeds, including making $940,000 in Ponzi-like payments and spending nearly $3.2 million on personal expenses.
The SEC said the alleged did not invest client funds as represented and instead misappropriated the proceeds, including making $940,000 in Ponzi-like payments and spending nearly $3.2 million on personal expenses.
The California DFPI restated existing annual filing and financial reporting obligations for California-registered investment advisors, regarding registration, financials and audits.
FINRA will discontinue its current practice of reviewing firms’ draft customer letters that use “negative consent” to effect bulk transfers
What’s the real reason clients switch advisors? Todd Bryant, CFP®, shares how 18 thoughtful touchpoints a year can quietly build trust, loyalty, and confidence.
Kathy Ruemmler will leave the Wall Street bank in the summer as newly released documents detail her past contacts with the disgraced financier.
