Wealth Management
 
WealthManagment.com Daily Memo
Wealth Management Daily Memo

NOVEMBER 22, 2024

REGULATION & COMPLIANCE

FINRA Is Dealt a Blow by Court in Its Power to Expel Brokerages

The Financial Industry Regulatory Authority must let the US Securities and Exchange Commission weigh in before it can cast out one of its members, a three-judge panel of the US Court of Appeals for the District of Columbia found.

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ETFS

Small Cap ETF Performance in the Wake of Trump's Victory

Small-cap stocks are a sector that has rallied in the weeks since the presidential election. Here is how the top 20 largest small-cap ETFs have performed in the past month.

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SPONSORED CONTENT
The BEAT: Your Timely Market Resource
Turn data into direction with our investment intelligence.
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RIA NEWS

Modera Wealth Management Acquires $467M Maryland RIA

The $12.5 billion RIA adds locations in Annapolis and Stevensville, Md. with the acquisition of Bay Point Wealth.

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TECHNOLOGY

WealthStack Roundup: AssetMark, TIFIN Broaden Collaboration

Also, Betterment integrates with Daffy, d1g1t launches a UMA framework and Advisor CRM launches.

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WMIQ RESEARCH REPORT
Wealth Managers and RPA Advisors: The Growing Impact of Employee Wellness
Discover how the convergence of wealth management and retirement plan advice is shaping the financial advisory business.
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