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SEC Pay-to-Play Rule Rears Its Head Again in Time for Election Season | JD Supra
JD Supra· 24 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 ...
SEC Settles Charges with Investment Adviser for Off-Channel Communications Recordkeeping Failures |...
JD Supra· 4 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 ...
Regulation and Compliance in the Alternative Asset Space | JD Supra
JD Supra· 24 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 ...
Fiduciary Rule Regs May Cut $5,000 in Annual Fees per Annuity Pro: DOL | ThinkAdvisor
ThinkAdvisor· 14 hours agoThe definition could affect a total of about 1,577 career insurance agents, 86,410 independent...
Miracle Mile Advisors Enhances C-suite by Hiring Matt Dmytryszyn to Serve as Chief Investment...
KLAS Las Vegas· 7 days agoMiracle Mile Advisors ("Miracle Mile" or "the firm") – a national, award-winning and independent ...
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 ( ...
The Soft Landing Narrative Reasserts Itself
Seeking Alpha· 17 hours agoLawrence Fuller is the Principal of Fuller Asset Management (FAM), a state registered investment adviser. The information does not intend to make an...
ChatGPT replacing human investment advisors isn’t a question of ‘when’ but ‘if,’ Wharton professor...
Fortune via Yahoo Finance· 3 days agoBut his findings, predominantly based on using ChatGPT, show that it's “not at a place right now...
Breaking Down the DOL’s Fiduciary Rule | PLANADVISER
PLANADVISER· 9 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...
Calamos Investments Taps Veteran BlackRock Distribution Executive to Lead RIA Sales
Benton Courier· 6 days agoInvestments LLC, a global investment manager, today announced the hire of senior and accomplished...
