See the latest on the Wealth Management Industry including M&A activity, diversity and inclusion and RIA updates.
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FINRA President Robert Cook reiterated the need for exams to remain remote into 2022, and said the rule may need to take a more risk-based approach going forward, he said, at SIFMA's Compliance & Legal Forum.
Within days of taking a minority stake in Verdence Capital Advisors, Emigrant announced its second deal this week, this time with Gerber|Taylor Capital Advisors.
Silvia Tergas’ journey into financial planning was not easy. But her father, who escaped from Cuba during the Cuban Revolution, and the lessons he taught her paved the way.