Industry

During a speech at the Practising Law Institute's “SEC Speaks” conference, Rick Fleming argued some digital engagement practices could “blur the line” between solicited and unsolicited trading.

The Covenant deal, Captrust’s seventh this year, brings the RIA more scale in Texas and continues its strategy of combining retirement plan services with wealth planning.

The AI and analytics team will be responsible for managing data, establishing best practice, and avoiding duplication of data analysis efforts across the bank’s four divisions.

Registrants have a 'good understanding' of what the commission expects from Reg BI compliance, so those questions will likely be 'integrated' into the Division of Examination's regular programs, according to an associate director with the division.

Damian Williams is taking charge of the office known for being the nation’s most aggressive prosecutor of white-collar crime.

Local St. Petersburg firms Raymond James Financial Inc. and Dynasty Financial Partners helped recruit Ark to the West Coast of Florida.

Kelso joins private equity firm The Cynosure Group, along with Savant’s family office investors; CEO Brent Brodeski will retain full control of the $12 billion RIA.

Fairport's deal to acquire FMA Advisory, facilitated by Hightower, will bring its total AUM to $3.9 billion.