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Miracle Mile Advisors Enhances C-suite by Hiring Matt Dmytryszyn to Serve as Chief Investment...
FOX 23 News Albany· 7 days agoMiracle Mile Advisors ("Miracle Mile" or "the firm") – a national, award-winning and independent ...
SEC Pay-to-Play Rule Rears Its Head Again in Time for Election Season | JD Supra
JD Supra· 19 hours agoOn April 15, 2024, the U.S. Securities and Exchange Commission (SEC) settled with a registered investment adviser (Adviser),1 whereby the Adviser paid a ...
Regulation and Compliance in the Alternative Asset Space | JD Supra
JD Supra· 19 hours agoAs the SEC has issued a number of final or proposed rules affecting broadly the conduct of broker dealers and investment advisers in the past few years, I have received a ...
SEC Settles Charges with Investment Adviser for Off-Channel Communications Recordkeeping Failures |...
JD Supra· 8 hours agoThe SEC’s order stated that, from at least January 2019 through December 2021, Senvest employees at various levels of authority communicated about firm-related business internally and externally ...
Breaking Down the DOL’s Fiduciary Rule | PLANADVISER
PLANADVISER· 4 hours agoThe Department of Labor’s final retirement security rule, to be published in the Federal Register Thursday, has drawn mixed early reaction since it went...
Fiduciary Rule Regs May Cut $5,000 in Annual Fees per Annuity Pro: DOL | ThinkAdvisor
ThinkAdvisor· 10 hours agoThe definition could affect a total of about 1,577 career insurance agents, 86,410 independent...
The Soft Landing Narrative Reasserts Itself
Seeking Alpha· 13 hours agoLawrence Fuller is the Principal of Fuller Asset Management (FAM), a state registered investment adviser. The information does not intend to make an...
Spectrum Investment Advisors Named to List of Nation's Top DC Advisor Teams
FOX 23 News Albany· 1 day agoSpectrum Investment Advisors has been named to the National Association of Plan Advisors' (NAPA) list of the nation's top defined contribution ...
Goldman Sachs to Shutter Marcus Invest and Sell Robo-Advisor Accounts to Betterment
Barrons.com· 2 days agoBetterment has since expanded into retirement plans and serving as a custodian for registered ...
SEC Charges Five Registered Investment Advisers for Marketing Rule Violations | JD Supra
JD Supra· 7 days agoThe US Securities and Exchange Commission (“SEC”) recently settled charges against five registered investment advisers for violations of Rule 206(4)-1 ( ...
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