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Advisors' E&O insurance premiums have fallen sharply for one risk asset group
InvestmentNews· 1 day agoRIAs wanting to add cryptos and other digital assets to portfolios are in luck.
Mid-Year Enforcement Update: SEC’s Continued Focus on Private Funds in 2024
The National Law Review· 1 day agoAs we reach the midpoint of 2024, the SEC has maintained its rigorous enforcement stance on the...
SEC Adopts Cybersecurity Amendments to Regulation S-P
The National Law Review· 5 days agoS-P[1] (the Amendments) that largely adopt the proposed amendments the SEC issued in 2023. As...
SEC Finalizes Amendments to Regulation S-P
The National Law Review· 5 days agoRequiring brokers and dealers, investment companies, registered investment advisers, funding portals, and transfer agents registered ...
Schwab’s Aguilar Eyes 20% Growth After $1.2 Trillion Milestone
Bloomberg via Yahoo Finance· 1 day ago(Bloomberg) -- Charles Schwab Corp.’s Omar Aguilar is eying a fresh spurt in asset growth — up to...
Veeco Instruments Is Riding the AI Wave
FX Empire via Yahoo Finance· 21 hours agoDisclosure: the author holds no position in VECO at the time of publication. If you are a Registered Investment Advisor (RIA) or are ...
Intuitive Surgical Ready for More Growth
FX Empire via Yahoo Finance· 21 hours agoDisclosure: the author holds no position in ISRG at the time of publication. If you are a Registered Investment Advisor (RIA) or are ...
Fidelity® and Envestnet Expand Relationship to Deliver Next-Generation Unified Wealth & Advisory...
Morningstar· 2 days agoFidelity Investments and Envestnet (NYSE: ENV) today announced the expansion of their 20+ year relationship to deliver a comprehensive wealth and advisory
Financial Markets and Funds Quick Take | Issue 27
The National Law Review· 1 day agoKatten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets...
SEC Adopts Regulation S-P Amendments to Enhance Protection of Customer Information | JD Supra
JD Supra· 1 day agoRegulation S-P applies to broker-dealers (including funding portals), investment companies, registered investment advisers and transfer ...
