Industry

The testimony before the Senate Committee on Banking, Housing and Urban Affairs is likely to be Clayton's final appearance in Congress before leaving his role as SEC chair by year-end.

Lido’s purchase from First Western Financial builds out its investment offerings and services to clients.

The Labor Department's potential fiduciary exemption faces review by an incoming Biden administration if it is not published in its final form 60 days before the inauguration.

John Gallagher and Mark Levin will be aligning with Gladstone Wealth Partners to establish Maverick Partners Wealth Management, which will be based out of Marlton, N.J.

The letters are meant to help CFP professionals meet the duties for providing information to clients as required by the board's Code of Ethics and Standards of Conduct.

The cases against the investment advisory firms marked the first from the Enforcement Division's Exchange-Traded Products Initiative.

VVP CEO Craig Findley has reunited with members of his former UBS team.

Captrust secures its first Colorado location with Shine Wealth Partners acquisition.

Less than a week after its last two acquisition announcements, the Canadian-based firm claims another RIA.