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1. • SEC Charges Investment Adviser with Pay-to-Play Violation, Bringing Political Contributions into...

     JD Supra· 6 days ago

     The 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 ...

2. • Top 5 SEC Enforcement Developments for April 2024 | JD Supra

     JD Supra· 1 day ago

     Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. The SEC’s initial ...

3. • FinCEN (and SEC) Propose New Customer Identification Program Rule With Minimal Expected Impact on...

     JD Supra· 5 days ago

     Similar to the AML/CFT program rule, the Proposed Rule would cover both SEC-registered investment advisers and exempt reporting advisers and apply equally ...

4. • Alphabet Inc. (NASDAQ:GOOGL) Stock Holdings Lessened by Gateway Advisory LLC

     ETF DAILY NEWS· 4 days ago

     (NASDAQ:GOOGL – Free Report) by 57.5% during the fourth quarter, according to its most recent disclosure with the SEC. The institutional investor owned 1,465 shares of the ...

5. • Invst LLC Increases Stake in Alphabet Inc. (NASDAQ:GOOGL)

     ETF DAILY NEWS· 3 days ago

     Invst LLC increased its position in Alphabet Inc. (NASDAQ:GOOGL – Free Report) by 3.2% in the 4th quarter, according to the company in its most recent filing with the SEC.

6. • Mercer Advisors' Martine Lellis Transitions to Support the Company's M&A Partner Development Growth...

     PRWeb· 7 days ago

     Mercer Advisors has become one of the leading RIA acquirers with over 85 acquisitions since 2016. The firm's "integrate not aggregate" strategy appeals to RIA sellers seeking ...

7. • 

     Brown Advisory Inc. Boosts Stake in Bristow Group Inc. (NYSE:VTOL)

     ETF DAILY NEWS· 1 day ago

     Brown Advisory Inc. raised its position in Bristow Group Inc. (NYSE:VTOL – Free Report) by 98.7%...

8. • Partnership Wealth Management LLC Makes New Investment in Alphabet Inc. (NASDAQ:GOOGL)

     ETF DAILY NEWS· 2 days ago

     (NASDAQ:GOOGL – Free Report) during the fourth quarter, according to its most recent Form 13F filing with the Securities and Exchange Commission (SEC). The firm purchased ...

9. • Racing Ahead: Privacy, Cybersecurity, and AI Heats for the Life Insurance Industry | JD Supra

     JD Supra· 6 days ago

     It has been months of high speed for privacy, cybersecurity, and artificial intelligence. It might be a false start for the National Association of Insurance Commissioners’ new privacy model ...

10. • Q1 2025 Walmart Inc Earnings Call

      Thomson Reuters StreetEvents via Yahoo Finance· 5 days ago

      But the reality is that given reimbursement rates and cost to serve, we could no longer see a path to achieving an acceptable level of profitability and we're committed to being disciplined ...