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Regulation & Compliance

How Workable Are FINRA’s ‘Finfluencer’ Tips for Firms?How Workable Are FINRA’s ‘Finfluencer’ Tips for Firms?

The regulator’s update to its targeted sweep of firms’ dealings with social media influencers offered suggestions that may be difficult for broker/dealers to fulfill, according to one securities attorney.

byPatrick Donachie, Senior Reporter

Mar 1, 2023

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1 Min Read

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401(k) Real Talk Episode 49: March 1, 2023 401(k) Real Talk Episode 49: March 1, 2023

byFred Barstein

Mar 1, 2023

Biden Nominates Julie Su as Labor Secretary, Replacing Walsh Biden Nominates Julie Su as Labor Secretary, Replacing Walsh

byJordan Fabian

Feb 28, 2023

1 Min Read

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Industry News & Trends

Advisor Charged With Murder in Colombia Faces Fallout Advisor Charged With Murder in Colombia Faces Fallout

byPatrick Donachie

Feb 28, 2023

1 Min Read

mercer advisors office

Mercer Launches Broker/Dealer for Legacy Assets Mercer Launches Broker/Dealer for Legacy Assets

byDiana Britton, Moderator

Feb 28, 2023

1 Min Read

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Financial Planning

Morgan Stanley Team Joins $6B Wealth Manager in Texas Morgan Stanley Team Joins $6B Wealth Manager in Texas

bySuzanne Woolley

Feb 27, 2023

1 Min Read

Thomas Lee Is Remembered by Milken, Kraft as Wall Street Trailblazer

Thomas Lee Is Remembered by Milken, Kraft as Wall Street Trailblazer

byAmanda L Gordon

Focus Financial CEO Rudy Adolf

Focus Goes Private After Acquisition by PE Firm

Focus Goes Private After Acquisition by PE Firm

byPatrick Donachie, Senior Reporter

money 401(k) envelope

401(k) Plans Are Free

401(k) Plans Are Free

byFred Barstein, The Retirement Adviser University,

Integrated Parners Chief Growth Officer Rob Sandrew

Integrated Partners Adds $2.25B RIA Laurel Wealth

Integrated Partners Adds $2.25B RIA Laurel Wealth

byAli Hibbs, Reporter

shipping containers

Industry News & Trends

Supply Chains Have Healed Yet Their Mark on Inflation to Endure

Supply Chains Have Healed Yet Their Mark on Inflation to Endure

CI Financial

On Track for U.S. IPO, CI Financial Releases Q4 Earnings

On Track for U.S. IPO, CI Financial Releases Q4 Earnings

byAli Hibbs, Reporter

Insights & Analysis

The Net Zero Playbooks by Property Type

The Net Zero Playbooks by Property Type

dollar dial

Industry News & Trends

Fed’s Jefferson, Mester Say Inflation May Persist, Ease Slowly

Fed’s Jefferson, Mester Say Inflation May Persist, Ease Slowly

byCraig Torres and Kate Davidson (Bloomberg)

Illinois, Georgia Are Newest States to Adopt Best Interest Annuity Rules

Regulation & Compliance

Illinois, Georgia Are Newest States to Adopt Best Interest Annuity Rules

Illinois, Georgia Are Newest States to Adopt Best Interest Annuity Rules

byPatrick Donachie, Senior Reporter

Cristina Livadary

Industry News & Trends

Human First: The Rise of FinPsych, Financial Therapy and Life Planning

Human First: The Rise of FinPsych, Financial Therapy and Life Planning

byDiana Britton, Moderator, Managing Editor

RIA Roundup: Savant Wealth Makes Largest Acquisition in History With $3.3B Capital Directions

RIA Roundup: Savant Wealth Makes Largest Acquisition in History With $3.3B Capital Directions

byAli Hibbs, Reporter

Industry News & Trends

Orion Advisor Academy Debuts

Orion Advisor Academy Debuts

byRob Burgess, Technology Reporter

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Industry News & Trends

FPA Program Looks to Plug Gaps in Advisors’ Elder Planning Expertise

FPA Program Looks to Plug Gaps in Advisors’ Elder Planning Expertise

byPatrick Donachie, Senior Reporter

Mindy Diamond on Independence: Embracing the Value of Private Equity and Interdependence

Mindy Diamond on Independence: Embracing the Value of Private Equity and Interdependence

byMindy Diamond, Louis Diamond

Wild Cards, Would-Be Clients and a New Breed of Annuity

Wild Cards, Would-Be Clients and a New Breed of Annuity

Wild Cards, Would-Be Clients and a New Breed of Annuity

byAli Hibbs, Reporter

Industry News & Trends

Pimco-Owned Office Landlord Defaults on $1.7 Billion Mortgage

Pimco-Owned Office Landlord Defaults on $1.7 Billion Mortgage

byJohn Gittelsohn

SEC Headquarters

Regulation & Compliance

Wall Street Firms Fight SEC Push to Change Mutual-Fund Pricing

Wall Street Firms Fight SEC Push to Change Mutual-Fund Pricing

byEmily Graffeo (Bloomberg)

Avantax Wealth Management

Industry News & Trends

Avantax Announces $1.7B in Newly Recruited Assets in 2022

Avantax Announces $1.7B in Newly Recruited Assets in 2022

byRob Burgess, Technology Reporter

Wells Fargo

Regulation & Compliance

Wells Fargo Discloses Probes as Scrutiny of Messaging Apps’ Use Widens

Wells Fargo Discloses Probes as Scrutiny of Messaging Apps’ Use Widens

byHannah Levitt (Bloomberg)

helping hand up mountain

Industry News & Trends

New Coalition Focuses on Industry’s Individuals

New Coalition Focuses on Industry’s Individuals

byPatrick Donachie, Senior Reporter

The 10 Most Impactful People in the 401(k) Industry

The 10 Most Impactful People in the 401(k) Industry

byFred Barstein, The Retirement Adviser University,

How Will RFPs Change the RPA Industry?

How Will RFPs Change the RPA Industry?

How Will RFPs Change the RPA Industry?

byFred Barstein, The Retirement Adviser University,

555 California Street Building

Industry News & Trends

Trump, Vornado-Owned San Francisco Buildings Land on Watchlist

Trump, Vornado-Owned San Francisco Buildings Land on Watchlist

byJohn Gittelsohn

Insights & Analysis

Another 2008? Recession Panic or Potential Buying Opportunity in Commercial Real Estate?

Another 2008? Recession Panic or Potential Buying Opportunity in Commercial Real Estate?

Brandywine Oak interioredit.jpg

RIA Edge 100: Brandywine Oak Private Wealth

RIA Edge 100: Brandywine Oak Private Wealth

byAli Hibbs, Reporter

New York City

Industry News & Trends

Yelp’s Remote Work Policy Spurs Employee Exodus from NYC to Florida

Yelp’s Remote Work Policy Spurs Employee Exodus from NYC to Florida

byPaulina Cachero

The Clarke brothers are descendants of Mormon pioneers who migrated across the plains from the Midwest to Utah in the 1800s And the family still pract

Regulation & Compliance

Mormon Church, Investment Manager Pay $5 Million to Settle SEC Probe

Mormon Church, Investment Manager Pay $5 Million to Settle SEC Probe

byAustin Weinstein (Bloomberg)

Insights & Analysis

WMRE Forum Recap: Examining Some Private Real Estate Trends

WMRE Forum Recap: Examining Some Private Real Estate Trends

Industry News & Trends

WMRE's Common Area: A CRE Economist’s View of Current Market Conditions

WMRE's Common Area: A CRE Economist’s View of Current Market Conditions