According to NASAA President Leslie van Buskirk, it’s unlikely federal regulators would “come close to making up the difference” if state regulators weren’t able to pursue crypto-related fraud.
In addition, Carson Wealth snags a $608 million Colorado-based firm, RIA holding company Aspen acquires its third firm, and a $580M Indianapolis-based RIA joins Sanctuary’s independent partner channel.
Open, honest and candid discussion about job growth, Pentegra's latest settlement, PE in ERISA plans, a new Pontera hire, whether banks will step up to serve new 401(k)s and more.
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