Under Chair Gary Gensler, the SEC has doggedly pursued alleged violations by crypto players, bringing 46 cases involving digital asset firms in 2023, a 50% increase over the previous year, Bloomberg ...

The 4.9 basis-point fee, which takes effect Dec. 1, is intended to cover administrative and support services for the platform, and it will be applied on top of the usual client fees, except on ...

Clearwater, Florida–based Indivisible Partners will launch in the first quarter of 2025, according to its website. The firm was formed on July 2, per its Form ADV, and its creation was announced this ...

The bar on using the term "advisor" or "adviser" would apply to anyone who doesn't have a license as an investment advisor or investment advisor representative, Nasaa said in its proposal.

JPMorgan Chase Chief Executive Officer Jamie Dimon is still not planning to take a role in the administration of Donald Trump when the Republican nominee once again becomes U.S. President next year ...

Dynasty says it aims to ensure "custom-fit" advisor-client matches through its Dynasty Connect end-client referral program, ...

Strive Enterprises, co-founded by one-time presidential hopeful Vivek Ramaswamy and touting "unapologetic capitalism," said ...

Launched in 2016 in a purported bid to automate so-called "ethical investing" while offering "halal portfolio management" and ...

The disclosure comes as Morgan Stanley faces at least three putative class-action lawsuits over its sweep rates plus a fourth ...

GYL's addition also brings the total number of Colony's offices to 100 across the United States, according to Focus. As part ...

Furthermore, high-net-worth investors make up 37% of private wealth managers' clients — compared to just 7% of case-based ...

In March, Wilson told Bloomberg that he thought the S&P 500 would end at 4,500, or about 13% from where the index was trading ...