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FinCEN and SEC propose Customer Identification Program requirements for investment advisers | JD...
JD Supra· 7 days agoEarlier in May 2024, the Financial Crimes Enforcement Network (FinCEN) continued its efforts to require registered investment advisers (RIAs) and exempt ...
Regulatory Roundup for May 2024 | JD Supra
JD Supra· 6 days agoThe SEC adopted extensive new requirements under Regulation S-P that will require broker-dealers, investment companies, registered investment< ...
FinCEN and SEC Propose Rulemaking Requiring CIP for Investment Advisers | JD Supra
JD Supra· 7 days agoOn May 13th, the Financial Crimes Enforcement Network (FinCEN) and the Securities Exchange Commission (SEC) issued a joint notice of proposed rulemaking (NPRM) that would require SEC-
New Dynasty-Backed RIA Accuses Former Firm of Lack of Accountability, Body Shaming
WealthManagement.com· 3 hours agoLast week, Salomon & Ludwin, a Richmond, Va.-based registered investment advisor, filed suit against...
SEC Revamps and Enhances Data Protections with Amendments to Regulation S-P | JD Supra
JD Supra· 6 days agoRIAs with $1.5 billion or more in assets under management will have 18 months after the date of publication in the Federal Register to comply (and others will have 24 months ...
2024 Fiduciary Rule – Impact on HSAs and Health & Welfare Plans | JD Supra
JD Supra· 7 days agoThe Department of Labor (“DOL”) recently released a final regulation (the “Fiduciary Rule”) redefining “investment advice” under the Employee Retirement Income Security Act ...
Want to build incredible teams? Give yourself, and your employees, personality tests -...
InvestmentNews· 30 minutes agoA new study from Ensemble Practice reports that RIAs experience an average of 36% staff turnover for...
Buy These 3 Short-Term Government Bonds to Hedge Risk
Zacks via Yahoo Finance· 8 hours agoThey are considered the safest in the bond fund category and are ideal for risk-averse investors....
Chamber Ambassadors recognize Donna Gunderson of Golden State Equity Partners
The Bemidji Pioneer, Minn.· 3 days agoJun. 1—Bemidji Chamber Ambassadors recently congratulated Donna Gunderson, Financial Advisor at Golden State Equity Partners, for being part of the downtown Bemidji business ...
Fidelity Piles On Pressure in Revenue Plan for ETF Firms
Bloomberg via Yahoo Finance· 1 hour ago(Bloomberg) -- Fidelity Investments is flexing its muscles in efforts to extract payments from ETF...