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Stratos Adds Second Team in As Many Weeks in Its Backyard
WealthManagement.com· 17 hours agoStratos Wealth Advisors, the fee-only registered investment advisor owned by Stratos Wealth...
Parallel Advisors Announces Appointment of David Canter to Board of Directors
Digital Journal· 19 hours agoCanter, a well respected expert in the Registered Investment Advisor (RIA) industry, will be the first outside board member at Parallel ...
SEC and FinCEN Propose Customer Identification Program Requirements for Registered Investment...
JD Supra· 6 days agoA CIP would need to include risk-based procedures for verifying the identity of each client and enable a registered investment adviser (RIA) to form a reasonable ...
David Canter Joins Board of $7.5B RIA Parallel Advisors
WealthManagement.com· 16 hours agoDavid Canter, the former head of RIAs and family offices at Fidelity Institutional and ephemeral...
Calling All Entrepreneurs: How The Right Financial Advisor Can Integrate Your Personal And Business...
Forbes· 4 days agoThe best financial advisor for an entrepreneur like you is going to be much more than a stock...
Regulatory Roundup for May 2024 | JD Supra
JD Supra· 5 days agoThe SEC adopted extensive new requirements under Regulation S-P that will require broker-dealers, investment companies, registered investment< ...
JD Supra: SEC Settles with Five Investment Advisers for Marketing Rule Violations
JD Supra· 4 days agoThe SEC recently settled charges against five registered investment advisers for violations of the marketing rule (“Marketing Rule”) under the Investment Advisers Act of 1940 (“Advisers...
BOARD POSITIONS: Anderson and Neubert
Los Angeles Business Journal· 21 hours agoMike Anderson is a nationally recognized investment company executive and licensed fiduciary. Based in Los Angeles, California, he is Executive Vice...
Virginia Wealth Management Firm Sues Advisors Who Left to Launch an Independent Practice
Barrons.com· 4 days agoBEST PRACTICES A large registered investment advisor firm in Virginia is suing an advisory team who...
Nonco and Bastion Trading complete Ethereum staking rate swap using CESR™
WROC Rochester· 4 days agoNonco, a digital assets trading firm focused on institutions and professional investors, completed...