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.
According to the Justice Department, Larry Holley, a pastor at Abundant Life Ministries and the co-operator of Treasure Enterprise, raised nearly $9.3 million from more than 140 investors.
Damian Williams is taking charge of the office known for being the nation’s most aggressive prosecutor of white-collar crime.
Currently, eToro offers U.S. investors only cryptocurrency products, but it plans to add equities by year-end.
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.
A conversation with Tom Stadum, managing partner of Fjell Capital, about his transition from UBS to independence with Sanctuary Wealth.
If states adopt the rules, they could bring the hammer down on advisors and firms that shirk paying the fines.
