Beyond an attempt to reverse Reg BI, the industry could also see a number of securities regulation reforms if Joe Biden wins the presidential election.
Dynasty Financial Partners CEO and Founder Shirl Penney on why the pandemic has been a boon to wirehouse breakaways, how his firm is working with Envestnet and Mariner Wealth Advisors, and what it means for the network to reach the $50B AUM mark.
The rush of comment letters comes on the final day of the comment period for the Labor Department's new proposal to replace the Obama administration's vacated fiduciary rule.
The SEC claims that Jack Brewer, a former investment advisor, sold shares of penny stock COPsync, a company he consulted for, knowing the stock price would fall.
