Search results
Fifth Circuit Rules SEC Exceeded Its Authority in Adopting Private Fund Advisers Rule
The National Law Review· 2 hours ago...Advisers Rule” (or the Rule) and, accordingly, vacated the Rule in full.[1] The Court’s interpretation of the SEC’s rule-making authority over private fund sponsors under Section 206(4) and 211(h) of the Investment Advisers Act of 1940 (the Advisers Act) and the Dodd-Frank Wall Street and...
A Pop Culture Guide to the Final Amendments to the QPAM Exemption Taking Effect on June 17, 2024 |...
JD Supra· 11 hours agoThere are a number of immediate action items for investment managers and ERISA plan fiduciaries under the revised exemption, so we are here to tell you that we feel the need ...
Despite a Court Tossing Out Private Fund Rules, Advisors May Still Follow its Guidance
WealthManagement.com· 22 hours agoIf enacted, the rules would have required registered advisors offering clients private funds to...
Learn More About James Bell CFA in Fayetteville, AR.
US News & World Report· 23 hours agoJames Bell is a financial advisor in Fayetteville, AR, and have earned their CFA. This professional credential is issued by the CFA Institute, and...
The WealthStack Podcast: Preparing for the Latest SEC Cybersecurity Rules
WealthManagement.com· 3 hours agoSEC compliance is top of mind for RIAs across the country, and their cybersecurity needs are specific. RIAs have a fiduciary responsibility to protect their clients’ data ...
Chamber Ambassadors recognize Donna Gunderson of Golden State Equity Partners
The Bemidji Pioneer, Minn.· 6 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 ...
$1 Billion Merrill Team Launches Independent RIA
Barrons.com· 1 day agoA Merrill Lynch team that oversaw more than $1 billion in client assets has left the wirehouse to launch an independent registered investment advisory...
Managing Assets Within the Plan | PLANADVISER
PLANADVISER· 1 day agoFraj Lazreg was giving clients financial advice before 401(k)s existed. Now, he’s spreading the gospel to peers about the pressing need to manage the...
How to Secure Unbiased Financial Advice as an Entrepreneur | Entrepreneur
Entrpreneur· 2 days agoUnfortunately, conflicts of interest inherent in traditional wealth-management models can distort...
JD Supra: DOL Amends Fiduciary Advice Definition Regulation
JD Supra· 6 days agoOn April 23, 2024, the U.S. Department of Labor (“DOL” or “Department”) issued a final regulatory package amending its fiduciary investment advice regulation ...