The settled charges against 21 investment advisory firms and six broker/dealers asserted that none had filed or posted their forms until receiving numerous reminders from regulators.

The deal allows Concurrent Advisors, a super office of supervisory jurisdiction with Raymond James Financial Services, to create a custom capital solution for its underlying advisors.

Fed leadership doesn’t sound convinced by arguments in favor of a hasty exit strategy.

The New York-based firm expects to lock in more than $500 million in commitments in the near future.

At a SIFMA forum, FINRA Chief Legal Officer Bob Colby said the agency would consider new guidance and rules after this year's market volatility.

The funding round will enable the New York-based firm to expand into alternatives like private equity and hedge funds, as well as digital assets.

The advisor moves and acquisitions you may have missed the week of July 19-23, 2021.

Outside investors aren't always heavy-handed operators looking to squeeze the business for a quick, financially lucrative exit.