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“Platforms like this you would typically see at the larger broker-dealers and maybe the wirehouses,” says Gary Gallagher, the firm’s head of investment and managed solutions.

Anita Darden Gardyne is the president and CEO of Onēva.

Whether the law changes next year or in 2025, wealthy clients can save by using the generous provisions now.

Ariel Sandell is the chief security and compliance consultant at Securex, a cybersecurity and compliance consulting firm based in New Jersey, serving tax, financial, and health care professionals nationwide. He holds multiple cybersecurity and compliance certifications, including CHITSM, CHSP, CPCIP and more.

It’s one of the largest recruiting moves of the year in the independent broker-dealer sector.

Five firms agreed to pay $3 million to settle an SEC investigation into unsuitable sales of complex exchange-traded products.

Angela Ceresnie is CEO of Climb Credit, a innovative student lending and payments platform.

While FINRA rules spell out what brokers generally need to determine a client's financial situtation, there can be gray areas, an expert says.

Democrat Joe Biden is expected to name his SEC chairman pick in the coming weeks.

Funds tracking telemedicine, gaming and even pet care attracted $2.5 billion in November alone, according to Bloomberg data.