When FINRA boss Richard Ketchum suggested the group was pulling back from its effort to regulate RIAs, advisors cheered -- but some observers worried the story isn't over. On Twitter, Investment Advisor Alliance said:
'Pressure is off for now. But what happens when Congress is once again more favorable to FINRA's goal?'
What's your opinion? Weigh in with you comments below.
Amid a busy April for big hires, compliance tech provider COMPLY and wealthtech platform TIFIN have brought on industry vets Michael Stanton and Jeannette Kuda, respectively, aiming for strategic growth.
After a mixed quarter for the firm's wealth unit, CEO Ron Kruszewski predicted that the Fed may cut rates zero or just once or even hike them in 2024.
The U.S. Chamber of Commerce and other business groups contend the Federal Trade Commission has exceeded its authority in nullifying contracts that prohibit employees from switching jobs to competitors.
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Advisor360° names former MassMutual exec Mike Fanning as its new CEO
