Finance News
The top 5 growth-fueled approaches leading RIAs will leverage in 2024
Thursday, December 14, 2023 | 4:15 PM ET
By NB
Nov 16, 2023
DOL Rejects Calls to Extend Comment Period for Fiduciary Rule
Despite industry protests asking for more time, the DOL will hold its public hearing on the rule next month and close the comment period Jan. 2.
By NB
Nov 16, 2023
Avantax CEO Chris Walters Will Step Down After Merger With Cetera
The news comes as Avantax faces three lawsuits and "multiple" demand letters from stockholders asking the company for additional financial disclosures.
By NB
Nov 15, 2023
FINRA Fines Canadian Firm For Reg BI Violations
Haywood USA failed to do due diligence for approximately 134 sales recommendations of private placement offerings totaling nearly $11 million, breaking FINRA rules and violating the SEC's care obligations.
By NB
Nov 15, 2023