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1. • 

     Wealth Enhancement Group Adds $1.2 Billion Advisor Firm in Houston

     Barrons.com· 2 hours ago

     Wealth Enhancement Group is making its fifth acquisition of the year, buying a large registered ...

2. • 

     Wells Fargo CEO Charlie Scharf Touts the Bank’s Indie Advisor Channel

     Barrons.com· 2 hours ago

     Most of the company’s advisors work in its full-service brokerage unit, also known as a wirehouse,...

3. • 

     Wealthcare Launches New RIA Affiliation Model

     WealthManagement.com· 6 hours ago

     Wealthcare, an integrated tech platform, hybrid registered investment advisory firm and TAMP based in West Chester ...

4. • Fragasso Financial Advisors Publishes Blog Post About Navigating Financial Markets During...

     Digital Journal· 7 hours ago

     Pittsburgh, PA - Fragasso Financial Advisors, a Pittsburgh based investment management and financial planning firm, released a comprehensive ...

5. • 

     JD Supra: Top Tips for Updating Your 2024 Compliance Program

     JD Supra· 4 hours ago

     Every year compliance officers face the unenviable job of performing their compliance program's...

6. • 

     Learn More About Caren Cardin in Daytona Beach, FL.

     US News & World Report· 3 hours ago

     Caren Cardin is a financial advisor in Daytona Beach, FL. Find a financial advisor who specializes in the area of expertise you require. An advisor ...

7. • FinCEN and SEC Propose Rulemaking Requiring CIP for Investment Advisers | JD Supra

     JD Supra· 15 hours ago

     On May 13th, the Financial Crimes Enforcement Network (FinCEN) and the Securities Exchange Commission (SEC) issued a joint notice of proposed rulemaking (NPRM) that would require SEC-

8. • JD Supra: The New Fiduciary Rule

     JD Supra· 3 hours ago

     On April 25, 2024, the Department of Labor published its final regulation on fiduciary advice, and the related exemptions, in the Federal Register. The regulation defines ...

9. • 

     Key Steps for Fund Managers to Avoid Scrutiny Under the SEC’s Pay-to-Play Rule

     The National Law Review· 7 hours ago

     The SEC’s recent settlement involving a “pay-to-play” rule violation by a private equity firm is a...

10. • 

      Stratos Wealth Advisors expands in Ohio - InvestmentNews

      InvestmentNews· 9 hours ago

      The national RIA adds a two-advisor wealth planning practice, led by a five-decade industry veteran,...