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SEC Expands Security and Breach Notification Requirements for Investment Firms | JD Supra
JD Supra· 7 days agoBrokers, dealers, investment companies, investment advisers, crowdfunding portals, and transfer agents registered with the SEC ...
SEC’s Private Fund Adviser Rule Struck Down by 5th Circuit Appeals Court | PLANADVISER
PLANADVISER· 1 day agoThe rule regarding advisement of private investment funds had required advisers to issue quarterly performance statements to investors in the fund as well as an annual audit ...
SEC’s Hedge Fund Rules Struck Down on Appeal. Gensler May Face More Challenges.
Barrons.com· 1 day agoTrump wins reelection, a new SEC chair could choose not to fight judgments striking down rules...
Guardian Wealth Management Launches New Brand and Website: Old School Meets New School
Digital Journal· 9 hours agoGuardian Wealth Management, LLC is an SEC Registered Investment Advisor. Contact Information: Silvia Roa-Madan Media ...
Learn More About Amy Acevedo in Portland, OR.
US News & World Report· 2 days agoAmy Acevedo is a financial advisor in Portland, OR. Find a financial advisor who specializes in the area of expertise you require. Individuals and...
Sequoia Financial Group appoints family office head
Private Banker International via Yahoo Finance· 2 days agoIn April 2024, Sequoia acquired AltruVista, an SEC-registered investment adviser that offers high-net-worth clients independent, comprehensive ...
Learn More About Alessandro Agnone in Coral Gables, FL.
US News & World Report· 1 day agoFind a financial advisor who specializes in the area of expertise you require. An advisor with a...
Learn More About Ted Abner in Covington, KY.
US News & World Report· 1 day agoTed Abner is a financial advisor in Covington, KY. Find a financial advisor who specializes in the area of expertise you require. An advisor< ...
Learn More About Ryan Abou-haidar CFA in Portland, OR.
US News & World Report· 2 days agoRyan Abou-haidar is a financial advisor in Portland, OR, and have earned their CFA. This...
Fugitive Former Merrill Lynch Advisor Indicted for Alleged $2.7 Million Fraud
Barrons.com· 1 day agoJared Eakes, a former investment advisor, faces four criminal charges and a civil suit in connection...
