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.

BlackRock, which already had pushed back a September deadline, asked employees to be “ready to return to the office more regularly if the situation improves.”

The Sept. 11 terrorist attacks happened 20 years ago. Here is how Registered Representative magazine, the predecessor title to Wealthmanagement.com, covered the aftermath in its October 2001 issue.

A panel of four technology executives discuss what happens when human advice meets technology.