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SEC and FinCEN Propose New Rule: Mandatory Customer Verification for Investment Advisers in 2024
The National Law Review· 6 days agoOn May 13, the US Securities and Exchange Commission (SEC) and the US Department of the Treasury’s...
JD Supra: Reporting Requirements under the Corporate Transparency Act
JD Supra· 2 days agoThe CTA was enacted to counter, among other things, money laundering and financing of illegal activity by making it more difficult for bad actors to...
Orchestra BioMed Holdings, Inc.'s (NASDAQ:OBIO) largest shareholders are individual investors with...
Simply Wall St. via Yahoo Finance· 5 hours agoMedtronic plc is currently the largest shareholder, with 16% of shares outstanding. With 16% and...
SEC Tightens Cybersecurity Requirements with Regulation S-P Amendments
The National Law Review· 5 days agoFor covered institutions (generally, broker-dealers, investment companies, registered investment...
Department of Labor Releases New ERISA Fiduciary Rule | JD Supra
JD Supra· 4 days agoThe U.S. Department of Labor (DOL) on April 23, 2024, issued the Retirement Security Rule (the Final Rule), which expands who qualifies as an investment advice fiduciary for ...
Financial Markets and Funds Quick Take | Issue 27 | JD Supra
JD Supra· 1 day agoKatten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial...
Merger Mania: 3 Stocks to Buy as Industries Consolidate
InvestorPlace via Yahoo Finance· 6 days agoA recent article from Barron’s discussing Focus Financial Partners’ consolidation efforts in the ...
Advisors' E&O insurance premiums have fallen sharply for one risk asset group
InvestmentNews· 4 days agoRIAs wanting to add cryptos and other digital assets to portfolios are in luck.
Proskauer's Hedge Start: What Key Exemptions Apply to Hedge Funds? | JD Supra
JD Supra· 5 days agoThis article will discuss the basic exemptions under which most hedge funds operate from the requirement to register a fund and its securities under U.S. federal securities ...
Make Sure Your Retirement Advisor Has The Training And Experience To Help You
Forbes· 5 days agoNowadays, you can find many people who call themselves “financial planners” or “retirement...