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SEC, FinCEN Propose to Mandate Customer Identification Programs for Registered Investment Advisers,...
JD Supra· 2 days agoBoth SEC-registered investment advisers (RIAs) and SEC-exempt reporting advisers (ERAs) would be subject to the rule, while state-registered< ...
myCIO Promotes William Stanley to Partner effective April 1, 2024
Benzinga· 18 hours agoPHILADELPHIA, May 23, 2024 /PRNewswire/ -- myCIO Wealth Partners LLC (myCIO), one of the largest independent registered investment advisors< ...
SEC and FinCEN Propose Rule Requiring Investment Advisers to Enact Customer Identification Programs...
JD Supra· 2 days agoTreasury Department announced a joint notice of proposed rulemaking that would require investment advisers to take steps to verify their customers’ identities. The rule would ...
Wegovy injections for weight loss: Side effects and benefits
The Telegraph via Yahoo News· 1 hour agoThe UK is one of the heaviest nations in Europe now with 63.8 per cent of the population overweight...
As Schwab RIA Custody Chief Bernie Clark Steps Down, What’s Next for the Business?
Barron s Online· 11 hours agoCharles Schwab is the nation’s largest custodian for registered investment advisors, safeguarding...
RIAs See Growth Potential in Clients' Savings Account Assets: Survey | ThinkAdvisor
ThinkAdvisor· 2 days agoRegistered investment advisors have mixed views on how November elections will affect the economic...
Is Fidelity A Fiduciary To Your Money? What You Need To Know
247wallst.com· 6 days agoFidelity Investments is a fiduciary when it works in an investment adviser capacity. Fidelity’s ...
Financial Advisor in New York’s Ritzy Hamptons Convicted of Fraud, Money Laundering
Barron s Online· 7 days agoA former registered investment advisor in New York has been convicted of three counts of fraud and...
Midas Securities Group purchases shares of Bexil Investment Trust worth over $218k By Investing.com
Investing.com· 1 day agoThe investment firm acquired 16,500 shares at a price of $13.23 per share, according to a regulatory...
SEC.gov | SEC Charges California-Based Investment Adviser for Failing to Disclose and Address...
U.S. Securities and Exchange Commission· 4 days ago...The Securities and Exchange Commission today announced settled charges against Raymond Lawrence Lent (dba The Putney Financial Group, Registered Investment Advisors), a sole proprietorship of Raymond Lawrence Lent, for breaches of fiduciary duty in connection with its recommendation and selection...