Digital assets and social media fraud were frequently cited in the states’ investigations and enforcement actions in 2023, according to a new NASAA report.
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AlphaCore founder Dick Pfister describes the firm’s investment approach that places alternatives at the core of the service offering.
The agency said the investment manager failed to adhere to its own investment criteria on three ESG-marketed ETFs that WisdomTree shuttered earlier this year.
Reg BI compliance and the use of crypto assets are other areas of focus for the upcoming year.
The Department of Education already announced that the rollout will be delayed for a second year in a row.
