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SEC Says RIAs and Brokers Who Suffer Data Breaches Will Have to Tell Their Clients
Barrons.com· 22 hours agoInvestment advisors, broker-dealers, and fund companies will have to start preparing to comply with...
SEC Issues Third Marketing Rule Risk Alert for Investment Advisers | JD Supra
JD Supra· 3 days agoEXAMS issued its first risk alert on the Marketing Rule ahead of its November 2022 required compliance date, outlining the aspects it expected to focus on during...
Oxford Harriman & Company Merges with CRT Private Wealth Management in Fairfield, New Jersey
Digital Journal· 4 hours agoAbout Wells Fargo Advisors Financial Network: For more than 20...advisors and fostering a mutual passion for doing what is right for clients. Investment ...
SEC, Treasury Crime Unit Float Customer ID Rule for Advisors | ThinkAdvisor
ThinkAdvisor· 5 days agoThe proposed rule is intended to fight money laundering and the financing of terrorism, said SEC...
The Corporate Transparency Act: A Reporting Guide for Medical Groups and MSOs
The National Law Review· 3 days agoThis post specifically speaks to medical groups and management services organizations (“MSOs”) that...
JD Supra: Department of Labor Finalizes QPAM Exemption Amendment
JD Supra· 1 day agoQPAM “Registration” Requirement: Amended Section I(k) requires every manager seeking to rely on the exemption...
SEC.gov | SEC Adopts Rule Amendments to Regulation S-P to Enhance Protection of Customer Information
U.S. Securities and Exchange Commission· 1 day agoThe amendments update the rules’ requirements for broker-dealers (including funding portals), investment companies, registered
JD Supra: UK Conduct Regulator Proposes Payment Optionality for Investment Research
JD Supra· 5 days agoThe proposals follow the recommendations made by the U.K. Investment Research Review in July last year, and which both the U.K. government and...and Exchange Commission of ...
ALLIANCEBERNSTEIN NATIONAL MUNICIPAL INCOME FUND, INC. ANNOUNCES PLAN FOR FULL REDEMPTION OF 2019...
WTNH-TV New Haven· 4 days agoAllianceBernstein National Municipal Income Fund, Inc. (the "Fund"; NYSE: AFB), a registered...
Steward Partners Named Among Washington Business Journal's 2024 Best Places to Work List
FOX 23 News Albany· 24 hours agoSteward Partners, a full-service, employee-owned, independent financial services firm has been named to the 2024 Greater Washington Best Places to Work list, an annual awards program presented ...