The SEC is seeking information from market participants, consumer advocates and others on “digital engagement practices” that are closely associated with the mobile phone apps offered by Robinhood and other companies.
The settlement order against J.W. Cole Financial Advisors is another in a line of actions brought against firms that failed to disclose the conflicts during the commission’s Share Class Selection Disclosure Initiative.
Deliberate Finances' Ryan Frailich discusses how he built his RIA to help people in their 20s, 30s and 40s regardless of whether or not they have liquid assets that need managing.
Join us on Sept. 15th at 4:15pm ET / 1:15pm PT to learn how you can now access a curated set of flexible investment solutions and customized high-net-worth solutions, all designed to give you more power and choice on the path to implementing effective goals-based wealth management.
.png){kind=small}
.png){kind=small}
