News

Peter Mallouk’s firm took in $500 million in net new assets, and over a hundred new clients, during the past few weeks. 'It’s been our best month in a long time.'

The SEC's work over the past 10 months with broker/dealers, advisors and regulatory agencies has prepared everyone for compliance by the end of June, Chairman Jay Clayton said today.

Advisors are implementing alternative work arrangements for their staff and putting restrictions on individuals who have access to their office, LIMRA found.