RIA Industry News from around the Nation
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RIA Industry News from around the Nation
What's Happening Today
Updated Hourly
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Morning Brief: Covid Relief Negotiations Revived
Stories of interest from around the web Read More The post Morning Brief: Covid Relief Negotiations Revived appeared first on AdvisorHub.... Read more » Focus Financial firm to acquire $723 million RIA
Horan Capital Management will become part of Connectus Wealth Advisers The post Focus Financial firm to acquire $723 million RIA appeared first... Read more »- Judge upholds eye-popping $11 million arbitration award to former compliance supervisor, plus $1 million in interest and costs to cover his appeal... Read more »
- Independent broker-dealer is raising transition loans and constructing new payout grids to attract big-firm brokers seeking to run their own advisory shops.... Read more »
- Nasdaq Inc. plans to require more diversity on boards of directors. Read More The post Nasdaq Will Require More Diversity on Listed Company... Read more »
- Stories of interest from around the web Read More The post Morning Brief: Mixed Economic Signals Befuddle Markets appeared first on AdvisorHub.... Read more »
This Is How Small 401k Plan Sponsors Can Best Address Their Unique Needs
The biggest issue when it comes to access is cost. It’s not just the plan sponsor’s sensitivity to higher costs. It’s the... Read more »- President-elect Joe Biden rolled out the first set of nominations for his economic team on Monday, formally announcing his selection of Janet... Read more »
- Former UBS and Morgan Stanley brokers are fined and suspended by regulator over client privacy violations after losing their new posts at... Read more »
- Craig Rumbaugh and his California-based firms will pay $1 million for misleading investors The post SEC settles with RIA involved in $3... Read more »
NEWS
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Helping Clients Get Unstuck And Follow Through By Understanding The Six Stages Of ChangeOne of the most frustrating parts of providing financial planning advice is that not all clients follow through on the advice that... Read more »
SEC Charges Unregistered Investment Adviser with Defrauding Puerto Rico Municipality
The Securities and Exchange Commission today charged an unregistered investment adviser based in Orlando, Florida for defrauding the Municipality of Mayagüez, Puerto... Read more »
The SEC today charged New York resident Mark Alan Lisser with fraud for operating at least two boiler rooms, on Long Island,... Read more »
ESG Investing: How It’s Going In the Real World (Part 3)
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You may have seen or heard about the, “how it started...how it’s going,” trend that’s been going around the internet lately. The... Read more »The Securities and Exchange Commission today announced an award of over $6 million to joint whistleblowers whose information and assistance led to... Read more »
BLOGS
What's Happening Today
Updated Hourly RIA News
- ●Stories of interest from around the web Read More The post Morning Brief: Covid Relief Negotiations Revived appeared first on AdvisorHub.... Read more »
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Pelosi, McConnell Offer New Stimulus Plans as Rebound Slows
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Republican plan includes $333 billion in spending on business subsidies, including a revised version of the Paycheck Protection Program. ... Read more » - ●
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The Nobel prize-winning economist explains why today's record stock market prices may make sense. ... Read more » ![]()
Like rules adopted by Arizona, Iowa and Rhode Island, Delaware's proposal would align with the SEC's Regulation Best Interest. ... Read more »![]()
Thomas Sporkin will soon lead attorneys and legal staff in modernizing the group's detection, investigation and prosecution activities. ... Read more »![]()
S&P 500 Index advanced 1.1% to 3,662.41; Dow improved 0.6% to 29,823.52, the biggest gain in a week; and Nasdaq gained 1.3%... Read more »![]()
Smart Transfers allows for pre-set movement between checking, investing and borrowing programs. ... Read more »![]()
FIDx, American Equity, Credit Suisse and Salt Financial also have annuity moves news. ... Read more »![]()
One-week and two-month U.S. dollar-denominated Libor rates are expected to cease publication at end of the year. ... Read more »![]()
"This listing rule is one step in a broader journey to achieve inclusive representation across corporate America," says Nasdaq CEO Adena Friedman. ... Read more »
NEWS
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