Search results
SEC, FinCEN Propose to Mandate Customer Identification Programs for Registered Investment Advisers,...
JD Supra· 3 days agoBoth SEC-registered investment advisers (RIAs) and SEC-exempt reporting advisers (ERAs) would be subject to the rule, while state-registered< ...
SEC and FinCEN Propose Rule Requiring Investment Advisers to Enact Customer Identification Programs...
JD Supra· 3 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 ...
Analysis: Wall Street is about to see its biggest trading change in years | CNN Business
CNN.com· 8 hours agoBefore the Bell newsletter. The current standard settlement cycle for broker-dealer transactions is...
SEC Amends Regulation S-P to Require Data Breach Notifications and Additional Written Policies | JD...
JD Supra· 13 hours agoOn May 16, 2024, the SEC amended Regulation S-P to impose new data privacy and security requirements on broker-dealers, registered investment advisers, ...
RIAs See Growth Potential in Clients' Savings Account Assets: Survey | ThinkAdvisor
ThinkAdvisor· 3 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· 7 days agoFidelity Investments is a fiduciary when it works in an investment adviser capacity. Fidelity’s ...
myCIO Promotes William Stanley to Partner effective April 1, 2024
FOX 5 San Diego· 1 day agoPHILADELPHIA, May 23, 2024 /PRNewswire/ -- myCIO Wealth Partners LLC (myCIO), one of the largest independent registered investment advisors< ...
FinCEN and SEC Move Closer to New AML Requirements for Investment Advisers & ERAs | JD Supra
JD Supra· 4 days agoOn May 13, 2024, FinCEN and the SEC jointly proposed a new rule that would require SEC-registered investment advisers and exempt reporting advisers to maintain ...
Former investment advisor could face 30 years in jail for fraud, money laundering
InvestmentNews· 4 days agoA former New York registered investment advisor has been convicted in connection with a scheme to...
Modern Wealth Makes 2 More Acquisitions as Assets Top $3.7 Billion
Barrons.com· 3 days agoBEST PRACTICES Modern Wealth Management, the registered investment advisor launched a year ago by...