Marketing Rule Among 2024 Enforcement Priorities: SEC Roundup
By Nick Morgan | Tom ZaccaroFormer SEC lawyers from five different cities present advice for those looking to stay clear of the regulator.
October 06, 2023
Unicorns May Be Dragged Into Public Markets: SEC RoundupThe SEC is considering a rule changing how shareholders are counted, with big implications for private companies.
September 05, 2023
New Private-Funds Rules Hit With Court Action: SEC RoundupSeveral industry groups filed an action in a federal appellate court challenging the SEC's recent private funds rules.
July 17, 2023
Matt DePalma, Managing Partner, Capstan Financial Consulting Group (Video)Matt DePalma, Managing Partner at Capstan Financial Consulting Group, talks
about helping to build his business over the last 12 years, which now supports…
July 17, 2023
Allison Daniels, Partner, Marcus, Inman & Daniels Wealth Advisors (Video)Allison Daniels, Partner at Marcus, Inman & Daniels Wealth Advisors, speaks
about how she took the independent route two years ago, founding a business…
July 17, 2023
Dathan Lumpkins, President, Lumpkins Private Wealth Management (Video)Dathan Lumpkins, President of Lumpkins Private Wealth Management, discusses
what independence has meant for him over the last four years and how his business
focuses…
July 17, 2023
Michael Cowan, Managing Principal, Gardens Wealth Management (Video)Michael Cowan, Managing Principal at Gardens Wealth Management, speaks
about working as an independent financial advisor for the last 13 years and what…
July 17, 2023
Spotlight on M&A (Video)As independent financial advisors seek growth, panelists explain why they are
using M&A as a key strategy for expansion. Building their books of business…