The SEC chair’s testimony before the Banking, Housing, and Urban Affairs committee also touched on issues like crypto assets and climate risk disclosures for issuers.

The Catholic fraternal service organization will bring its investment strategies to individual retail clients for the first time.

NorthCoast Asset Management is the 10th RIA to join the Connectus consortium, Focus Financial Partners' shared services model.

Shoreline Wealth Management is the 13th team to affiliate with LPL through its Strategic Wealth Services model, which went live in April 2020 to lure breakaways.

Platforms like Zanbato, EquityZen and Carta that help sell shares in private companies have exploded in popularity.

The subsidiary of MassMutual Holdings will pay $2.1 million in total for the alleged lapses.

As the advisory business model continues to grow in importance, broker/dealers are increasingly becoming RIA support platforms, competing with firms that have been doing so for many years.

Stephen Condon Peterson sold bogus promissory notes, using investor cash to buy art and fund a Costa Rica vacation home, according to the Justice Department.