FEBRUARY 9, 2024

REGULATION AND COMPLIANCE

SEC Fines Firms $81M For Off-Channel Communications Lapses

Patrick Donachie

The settlements with Northwestern Mutual, Guggenheim and Oppenheimer & Co. mirror other allegations concerning retaining electronic communications.

FULL ARTICLE

WEALTHSTACK ROUNDUP

WealthStack Roundup: Aztec Acquires Financial Training Provider FFG

Davis Janowski

Also, business valuation tech provider Capitaliz hires a new executive and TIFIN acquires The Giving Place.

FULL ARTICLE

WEBINAR

Golden Era for Credit: Floating-Rate Market Opportunities for 2024

Sponsored by Eaton Vance

Join our webinar on February 20th, as experts from Morgan Stanley explore the thriving opportunities in floating-rate credit investments

INSURANCE

How Life Insurance Agents Can Assess Their Readiness to Market in 2024

Charles L. Ratner

A tweak to perspective, process or presentation could pay dividends.

FULL ARTICLE

EQUITIES

Young Americans’ Wealth Grew 80% Since 2019, But There’s a Catch

Alex Tanzi

They've invested their savings in stocks.

FULL ARTICLE

CONNECT WITH US

EVENTS

Inside ETFs | RIA EDGE | WealthStack

RESOURCES

WMIQ
Research

White
Papers

Webinars

Podcasts

COMMUNITY

Did someone forward you this newsletter? Sign up here to receive it direct.

You are subscribed to this newsletter as EmailAddress

To ensure uninterrupted delivery of this critical eNewsletter alert be sure to add WealthManagement.com and the reply address to your list of safe sender contacts.

Questions or problems? Contact Customer Service

Manage Subscriptions | Archive | Advertise | Privacy Policy

Advertisement