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The action comes as the SEC plans heightened scrutiny of advisor disclosures and activity, and serves as a reminder to stay on top of the basics.

Plus, Savvy Wealth launches a direct indexing tool, AssetMark adds experience to its roster and Asset-Map teams up with Morningstar.

A 20-year veteran advisor sold more than $7 million worth of investments pitched by an accused fraudster connected to his friend from Bible study, the regulator said.

The firm blamed a coding error from a trading software it upgraded at the time. FINRA took nearly eight years to discipline Goldman for the problem, which allegedly began in 2015.

W. Michael Hsu, CPA, is founder of DeepSky, an outsourced CFO service known as the Accounting Department for Entrepreneurs. After 10 years of building a financial consulting firm and working with entrepreneurs advising their multimillion-dollar businesses through systems and processes, Hsu has taken his experience in entrepreneurship and condensed it into a methodology named Measure x Hack to serve as a guide to building a successful business, life, and relationship.

The program, offered by a financial wellness coaching service, joins a burgeoning patchwork of wealth management support systems for student-athletes.

The last-minute changes would loosen inspection requirements but add limits to the type of business brokers can do from home.

Andrea R. Jaffe, CPA is a senior director of professional services at Avalara. She joined Avalara in 2020 as part of an acquisition. She has been in the licensing space since 2011, assisting clients with license portfolio management, and consulting on operational risk management around mergers, acquisitions, divestitures and other entity reorganizations.

UBS has traded steady progress on a low-risk strategy for a political spotlight, years of integration efforts and tens of thousands of job cuts in buying Credit Suisse. Will it pay off?