Kim Kardashian to Pay $1.3M to SEC for Crypto Touting

Oct 03, 2022

The SEC has warned that celebrities touting cryptocurrencies it deems securities need to make clear to investors if they’re paid for the backing.

Five Post-Pandemic Affluent Trends

Sep 30, 2022

Common sense isn’t always common practice.

$1.1B WhatsApp Fine a 'Shot Across the Bow'

Sep 30, 2022

Following the blockbuster settlement, expect messaging apps and personal devices to be a 'routine' part of SEC scrutiny for firms of all sizes, say compliance experts.

Mindy Diamond on Independence: How a $600M Breakaway Team Transformed Into a $2.8B Business

Sep 29, 2022

A conversation with Todd Resnick, co-founder and president of One Seven.

RIA Edge Podcast: Carolyn Armitage on The Importance of Succession Planning for RIAs

Sep 29, 2022

Thrivent Advisor Network's Carolyn Armitage details the best and worst practices for putting a formal succession plan in place.

Wealthies Circle: On the Red Carpet with Carolyn Armitage

Sep 28, 2022

Listen as Carolyn Armitage, President, Thrivent Advisor Network (TAN), discusses how their firm is demonstrating leadership and how their 2022 Wealthies Initiatives help financial advisors.