Morning Memo
 
Wealth Management Morning Memo

OCTOBER 12, 2023

REGULATION AND COMPLIANCE

D.C. Court Rejects Rep's Argument Questioning FINRA’s Constitutionality

But the existential threat to the regulator remains unresolved.

FULL ARTICLE

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TECHNOLOGY

Surge Ventures Launches RegTech Company

Sid Yenamandra's new company, RegVerse, has introduced its first product, Avery, a generative AI regulatory technology.  

FULL ARTICLE

SPONSORED CONTENT

Understanding Whole Life Insurance Dividends

What clients need to understand about whole life insurance dividends.

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RIA NEWS

Concurrent Adds Largest Team in Firm History

Lumature Wealth Partners, with $700 million in client assets, has left Raymond James to go independent with the newly restructured Concurrent.  

FULL ARTICLE

HIGH NET WORTH

Massachusetts Passes $1B Tax Reform Package

Seven key provisions of the new law explained.

FULL ARTICLE

WHITE PAPER

How to Deliver an Indispensable Client Experience Through Independence

Build strong relationships through exceptional service.

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Podcasts

RIA EDGE PODCAST

Connectus Wealth's Molly Bennard on Bringing Different Connections into Focus

Molly Bennard discusses Connectus Wealth's business model, the importance of organic growth, future opportunities and more.

Sponsored by Schwab Advisor Services

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WEALTH MANAGEMENT EDGE PODCAST

Marguerita Cheng’s Journey

Reaching career heights and achieving client goals on the road to success.

Sponsored by iShares


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WEBINAR

Harness the Power of Convertibles as an Equity Alternative

Join us on October 31 for a financial revolution, revealing an active edge in small and mid-cap growth stocks through innovative equity-sensitive convertibles.

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