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While it’s hard to predict with certainty when COVID-19 will be in the rearview mirror, the end does seem to be in sight as firms, industry associations and advisors are all starting to contemplate holding certain events and meetings on an in-person basis, commencing in the closing quarters of this year.

Greetings from Digital Wealth News™ ! Happy Wednesday from Beautiful Montana! ...

Today, we are pleased to announce the next chapter in our growth at Digital Wealth News, with the launch of our new podcast series Dwealth Muse, plus more great new content this week. Check it out here!

For Sander Ressler, Managing Director of Essential Edge Compliance Outsourcing, a compliance supervision consultancy for the wealth management space, the Reddit-fueled surge in GameStop’s share prices towards the end of January was a memorable time for his firm.

Holiday Greetings from Digital Wealth News™ ! Hoping this finds you and...

The ongoing coronavirus pandemic notwithstanding, FINRA continues to proceed at full speed when it comes to penalizing financial advisors for noncompliance with recordkeeping and supervision obligations. In particular, one recurring area where significant penalties can be imposed is with a financial advisor’s outside business activities (OBA).

Happy Wednesday from Digital Wealth News™ ! Greetings once again from ATL...