The regulator’s update to its targeted sweep of firms’ dealings with social media influencers offered suggestions that may be difficult for broker/dealers to fulfill, according to one securities attorney.

Tax benefits are typically secondary factors with large gifts.

New York-based Ritholtz Wealth Management will take over the direct-to-consumer robo business from FutureAdvisor.

Su, 54, led California’s labor department before joining the Biden administration as deputy labor secretary.

Financial advisor John Poulos was fired from Vanguard and stripped of his CFP designation after being arrested for a homicide near Bogota, Colombia. He was caught in Panama on his way to Turkey, according to reports.

The newly released tool seeks to automate multiple compliance processes, including share class monitoring.

Mercer CEO Dave Welling says the new brokerage will help it better serve prospective clients and M&A prospects with long-standing commission-based assets at outside broker/dealers.

Investors await a fresh narrative at Goldman Sachs' second-ever investor day.