The rule filing would have made several changes to the regulatory agency's expungement process, including establishing "specialized arbitration panels" for such requests.
Apex Fintech Solutions plans to offer advisors a feature that will eliminate the two-day settlement period. They have the option of extending it to clients.
With a growing number of advisors looking to quit the business in the coming decade—and a potentially smaller pool of successors to choose from—it’s time to rethink your exit strategy.
Speakers during the closing session of the group's Private Client Virtual Conference this week also detailed the legislative prospects for the PRO Act, which could limit IBDs' contractor status.
The Defiance Next Gen Altered Experience ETF begins trading under the ticker PSY, offering exposure to firms involved in “the next generation of medicine, including psychedelics, cannabis and other psychedelic-derived treatments.”
The more value-added services you provide clients, the harder it is for them to replace you. Join this webinar on June 3rd to learn about the opportunity for RIAs to distinguish themselves through this important “high touch” service offering for U/HNW families and individuals.
