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Cetera's acquisition of Voya's financial planning channel is expected to moderately increase the firm’s leverage, but not enough to change S&P Global Ratings' credit outlook.
DeLynn Zell left the brokerage world in 2008 to launch an RIA that has grown 17% year over year to $2 billion in AUM. "we could sell this firm by Friday," she jokes, but she and her team want to build a legacy business for the next-generation of...
According to the SEC complaint, the defendants would raise funds from clients without investing them, and would often use them to pay for personal expenses.
The rule is based off a model designed by the National Association for Insurance Commissioners that was intended to align with the SEC's Regulation Best Interest.