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New DOL Fiduciary Rule: Top 5 Facts Advisers Should Know | PLANADVISER
PLANADVISER· 1 day agoQuestion: I am a registered investment adviser who provides advisory services to individuals....
Affiliated Managers (AMG) Buys Minority Interest in Suma Capital
Zacks via Yahoo Finance· 2 hours agoThe deal, announced in July 2023, expands LPLA’s footprint in the California market and solidifies...
Healthcare Property Advisors Launches HPA Exchange LLC to Offer Healthcare Real Estate Investments...
FOX 5 San Diego· 1 hour agoHealthcare Property Advisors announced today the launch of HPA Exchange LLC, a new real estate investment sponsor that will provide accredited investors ...
SEC Settles Charges Against Adviser for Improperly Splitting Legal Fees | JD Supra
JD Supra· 11 hours agoQuick Take: The SEC settled charges against an investment adviser for allegedly entering into an improper legal fee-splitting arrangement with its client, an open-end fund ...
The Dow crossed 40,000 for the first time – Should you keep investing in stocks or wait?
Bankrate via Yahoo Finance· 2 hours agoHere’s what financial advisors say you should do with stocks near all-time highs. Stock market highs...
Regulators Seek to Saddle Industry With New Obligations: Firms Bridle and Stir Up Opposition | JD...
JD Supra· 11 hours agoFinCEN seeks to close “regulatory gaps” that allow “thousands of investment advisers overseeing the investment of tens of trillions of dollars into the ...
SEC Charges Investment Adviser with Pay-to-Play Violation, Bringing Political Contributions into...
JD Supra· 1 day agoThe SEC recently charged an investment adviser for violating Rule 206(4)-5 under the Advisers Act, known as the “Pay-to-Play Rule” (Rule).1 In settling the charges, the adviser ...
3 No-Brainer Artificial Intelligence (AI) Stocks to Buy Now
Motley Fool via Yahoo Finance· 6 hours agoShould you invest $1,000 in Microsoft right now? Before you buy stock in Microsoft, consider this:...
Spectrum Investment Advisors Announces New Hires
NBC 17 Raleigh· 23 hours agoSpectrum Investment Advisors is thrilled to announce the exciting three additions to our firm. Max is licensed as an Accredited Asset Management Specialist ...
FUNDamentals: Is the Joint FinCEN and SEC Proposal for Investment Adviser Customer Identification...
JD Supra· 11 hours agoOn May 13, 2024, the U.S. Securities and Exchange Commission’s Division of Investment Management (“SEC”) and the U.S. Department of the Treasury’s...