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Moody’s assigned a B2 rating to the notes and changed its outlook on the firm from stable to positive, saying the benefits of higher interest rates will offset the additional debt.
A recent capital infusion from LNC Partners will support continued growth for GCG Advisory Partners as a newly incorporated holding company focused on advisor succession.
While representatives of the Institute for Portfolio Alternatives warn of the proposal’s 'chilling effect' on brokers, state regulators are asking why REIT customer complaints remain elevated.
The SEC staff bulletin detailed instances in which firms may be required to disclose, mitigate and, if necessary, eliminate conflicts of interest to comply with the Regulation Best Interest rule.