The deal is expected to close in the next few days, much faster than anticipated.

Insurance regulators overwhelmingly approved revisions to annuities guidelines, aligning them with the SEC's Regulation Best Interest rule.

The latest Reg BI guidance addressed whether clients can 'waive' the rule's protections, whether affiliated firms can submit separate CRS forms, and whether firms have to build entirely new systems and processes to be in compliance.

Santa Clarita, Calif.-based Criterion Wealth Management Insurance Services recommended private real estate funds but failed to disclose 'significant' financial conflicts of interest, the SEC claims.

Dimitri Eliopoulos departed RMB after only eight months as wealth management chief to join Curi Capital as CEO.

Estate of billionaire contends valuable pieces were moved out of the United States.

The Carson Group has made Jamie P. Hopkins, its director of retirement research, managing director of Carson Group Coaching.

Captrust Financial Advisors' first acquisition of 2020 is $654 million AUM Fountain Financial Associates.

Groups such as the Heritage Action for America, FreedomWorks, Americans for Tax Reform and the National Black Chamber of Commerce call the SEC's proposal an "expensive 'solution'" to a "potentially non-existent 'problem.'"

Eager to add assets, the advisor-focused custodian is modifying its onboarding requirements.