MARCH 15, 2024

REGULATION AND COMPLIANCE

FINRA Fines Osaic B/Ds For Poor Cyber Defenses

Patrick Donachie

FINRA argued Osaic Wealth (formerly Royal Alliance) and Securities America didn’t have proper cyber controls in place at branch offices, resulting in dozens of breaches over several years.

FULL ARTICLE

RIA ROUNDUP

After Hitting $17B in ‘23, Concurrent Scores Advisors from Wells Fargo, Raymond James

Ali Hibbs

Carson Group also announces two additions, Realta Wealth names a new CFO and Savant adds to its board.

FULL ARTICLE

WHITE PAPER

Achieving Tax Alpha: Having the Right Tools

Sponsored by SS&C Advent

Do you have the right tools in place to achieve tax alpha?

LEARN MORE

THE WEALTHSTACK PODCAST

Going From Wealth Advisor to Wealth Coach With Urs Bolt

Shannon Rosic

Advisors are increasingly relying on technology to become more efficient and streamline operations. Urs Bolt details what’s driving this shift.

Sponsored by TradePMR

LISTEN NOW

COLLEGE PLANNING

Rollout of Financial Aid Revamp Leaves Students in the Lurch

Paulina Cachero

FAFSA applicants encounter delay after delay in this year’s countdown to college decision day.

FULL ARTICLE

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