SEI

JULY 15, 2025

Transparency and reporting: Public BDCs must file regular disclosures with the Securities and Exchange Commission (SEC). It is important to evaluate whether a fund’s net return justifies its cost and compare fee terms across offerings. Balance opportunity and risk. Neither SEI nor its affiliates provide tax advice.

Distribution 52

Distribution Taxes Wealth Management Financial Services 52

Hubly

JULY 15, 2025

Securities and Exchange Commission (SEC) has imposed hefty fines on firms for recordkeeping violations. million for failing to maintain and preserve electronic communications. Lack of Oversight and Communication When account opening is a team effort, it can have unintended consequences and create trouble downstream.

Compliance 52

Compliance Accounting Clients Communication 52

SEI

JULY 18, 2025

Forward-looking statements This communication contains forward-looking statements within the meaning or the rules and regulations of the Securities and Exchange Commission. 31, 2024, filed with the Securities and Exchange Commission. Find out what we’ve done and where we’re headed.

Investing 52

Investing Investments Wealth Management Financial Advisor 52

Trade Brains

JULY 17, 2025

Delhivery: Received Competition Commission of India approval for acquiring Ecom Express. One 97 Communications (Paytm): Incorporated a new step-down subsidiary in Saudi Arabia under the Paytm brand. Bharat Forge: Subsidiary Kalyani Strategic Systems formed a joint venture named Aegis Advanced Systems SL in Spain.

Marketing 59

Marketing Marketing Banking Certification 59

Midstream Marketing

DECEMBER 10, 2024

Including video marketing in your plan can improve communication with clients. By developing a strong unique value proposition and changing how you communicate and adjusting your services to fit their needs, you will create stronger bonds and gain their trust. They have unique needs and ways of communication.

Financial Advisor 52

Financial Advisor Marketing Marketing Clients 52

Trade Brains

JUNE 20, 2025

Elecon Engineering Company Limited is involved in the design and manufacturing of industrial gears and material handling equipment, and is also involved in providing erection and commissioning solutions for its products. NCC Limited With a market cap of Rs. crores, the stock moved up by nearly 2 percent on BSE to Rs.

Engineering 104

Engineering Manufacturing Pharmaceutical Transportation 104

Investing Caffeine

MARCH 25, 2025

Finished her PhD at The London School of Medicine (Barts) Practiced law at the Covington & Burling law firm representing the television broadcasting industry before the Federal Communications Commission (FCC). Hired by NASA to seek approval from the FCC for NASA systems used to track and relay satellite data.

Investing 59

Investing Investments Fiduciary Duty Healthcare 59

The Big Picture

MARCH 25, 2025

But with me, it’s always more like I’m fascinated by the thought or the message that’s being communicated. We are now commissioning documentaries with some younger talent that isn’t really bound up by the way Hollywood currently does things. Absolutely correct. That’s what I want people to focus on.

Management 144

Management Numbers Investing Investments 144

Nerd's Eye View

NOVEMBER 8, 2024

the Department of Labor's Retirement Security Rule and the Federal Trade Commission's ban on most non-compete agreements, both of which are currently blocked by courts) likely to be tabled under the new administration.

Financial Planner 189

Financial Planner Compliance Communication Clients 189

Trade Brains

JUNE 10, 2025

REC has also diversified into the non-power infrastructure sector, which includes ports, roads and expressways, metro rail, airports, IT communication, and electro-mechanical (E&M) projects associated with various other industries, such as steel and refineries.

Financial Services 72

Financial Services Investing Investments Certification 72

Getting Your Financial Ducks In A Row

FEBRUARY 3, 2025

But here’s one key takeaway: the IRS doesn’t use email (or text messages) as the regular communication to deliver notices of deficiency, requests for additional information, and the like. The IRS is big about the paper notice – you’ll recognize it immediately, with the official IRS seal and all.

Taxes 52

Taxes Media Numbers Electronics 52

Trade Brains

JULY 18, 2025

Tragedy Sparked by Poor Planning, Says Probe Report The decision follows a detailed inquiry by the Justice Michael D’Cunha Commission, which found that the disaster was not an accident, but the result of severe mismanagement and negligence.

Medical 52

Medical License Commission Government 52

Trade Brains

JUNE 12, 2025

The first order comes from ACG Universal Capsules Private Limited for the supply, installation, testing, and commissioning of a power distribution system, with a delivery timeline of 6 to 7 months. Marine Electricals is an integrated electrical and automation solutions provider catering to both the marine and industrial/commercial sectors.

Distribution 52

Distribution Commission Healthcare Communication 52

The Big Picture

MARCH 11, 2025

But the, the way, and that’s just one example, being able to communicate with clients to record and embed an interactive video with charts and everything else, right? And the joke is you have 24 7 access to your daily, weekly, monthly, year to date, five year, 10 year performance reports. We’re gonna change shifts then.

Economics 130

Economics Economy Consulting Investing 130

Trade Brains

JUNE 6, 2025

During Friday’s trading session, shares of a micro-cap company involved in the telecom and communication infrastructure hit a 10 percent upper circuit on NSE, after announcing Q4 FY25 financial results with a rise in revenue from operations by around 238 percent YoY. With a market cap of Rs.

Communication 52

Communication Commission Investment Advisor Consulting 52

Trade Brains

JUNE 27, 2025

The shares of this manufacturer of communication equipment, primarily for power utilities, hit a 5 percent upper circuit after receiving a Rs 37.46 With a market capitalization of Rs 572 crore, the shares of Valiant Communications Ltd hit upper circuit of 5% to Rs 750.25 per share from its previous closing price of Rs 714.55

Communication 59

Communication Commission Investment Advisor Manufacturing 59

The Big Picture

MAY 6, 2025

Wall Street tries to make things more complicated because it has to justify the, the sales commission and if, but things really are not so complicated. If the s and p moves by 10 basis points, it doesn’t communicate to you how the s and p affects other things. If it’s simple, well, I think I could do that much.

Risk Management 144

Risk Management Banking Portfolio Distribution 144

Trade Brains

JULY 2, 2025

A notable player in India’s defence and communication technology space is making headlines again, this time with a fresh domestic purchase order worth Rs. The market has responded swiftly to the news, indicating rising investor interest in companies catering to India’s evolving defence and digital communication landscape.

Communication 59

Communication Certification Commission Investment Advisor 59

Trade Brains

JUNE 14, 2025

Quantum Cybersecurity – QNu Labs’ Encryption Shield Post-operation, secure communication became a top priority. QNu Labs rolled out quantum cryptographic solutions, such as QShield, fortifying military communication networks against emerging quantum threats 8. Their Akashteer air-defence C4ISR network intercepted 100 % of drones.

Startup 59

Startup Communication Medical Electronics 59

Nerd's Eye View

APRIL 26, 2024

Also in industry news this week: The Federal Trade Commission released a final rule that would ban most non-compete agreements, which could lead to an increasing number of non-solicit agreements (and, potentially, lawsuits regarding their enforcement) between financial planning firms and their advisors The Securities and Exchange Commission issued (..)

Financial Planner 246

Financial Planner Commission Communication Financial Advisor 246

Nerd's Eye View

AUGUST 26, 2024

Over the last 50 years, even the most substantial changes to occur – such as the movement away from commissions and towards fee-based compensation, and the shift from an investment-centric approach to more holistic financial planning – have taken place over decades and, in many cases, are still ongoing.

Communication 173

Communication Financial Advice Commission Planning 173

Nerd's Eye View

AUGUST 16, 2024

Notably, this announcement included the first off-channel communication case brought by the SEC as a result of a referral from an RIA exam, which could lead examiners to focus on off-channel communications during regular RIA examinations.

Financial Planner 246

Financial Planner Communication Retirement Commission 246

NAIFA Advisor Today

AUGUST 1, 2023

Enrollment, quoting, customer management and engagement, and commissions are handled by disparate platforms that lack communication and may not be tailored to the industry's specific needs.

Commission 98

Commission Insurance Sales Accounting 98

Nerd's Eye View

SEPTEMBER 13, 2024

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that the SEC this week fined 4 RIAs for violations of its marketing rule related to their claims that they offered 'conflict-free' financial advice.

Financial Planner 246

Financial Planner Compliance Fee Only Communication 246

Nerd's Eye View

MARCH 22, 2024

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that the SEC has recently been cracking down on firms for recordkeeping failures related to electronic communications, including their use of text messaging with prospects and clients.

Financial Planner 246

Financial Planner Communication Retirement Retirement Planning 246

Wealth Management

APRIL 15, 2025

LPL, Raymond James, Ameriprise, and Osaic were among the firms asking the commission to modify settlements concerning the supervision of off-channel communications, claiming that firms who settled later got better deals.

Commission 151

Commission Communication 151

Nerd's Eye View

JANUARY 12, 2024

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that the Securities and Exchange Commission this week authorized 11 Spot Bitcoin Exchange-Traded Funds (ETFs), which could provide financial advisors and their clients with a convenient way to invest in the cryptocurrency without (..)

Financial Planner 246

Financial Planner Financial Advisor Commission Budgeting 246

Nerd's Eye View

SEPTEMBER 1, 2023

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that the Massachusetts Supreme Judicial Court ruled that the state's fiduciary rule for broker-dealers can stand, potentially opening the door for other states to impose similar standards that exceed the requirements of the Securities (..)

Financial Planner 246

Financial Planner Strategic Planning Retirement Planning Retirement 246

Nerd's Eye View

MAY 10, 2024

billion (thanks to expected reductions in commissions and the embedded costs in these annuities). could save retirement plan participants $55 billion over the next 10 years (due to an expectation of more low-cost fees being offered in plans) and those rolling over workplace plans into IRAs to purchase annuities another $32.5

Financial Planner 246

Financial Planner Retirement Planning Retirement Valuation 246

Nerd's Eye View

AUGUST 25, 2022

Historically, the career path for newer financial advisors has followed a commission-based model that was focused on sales and business development first and learning the technical aspects of financial planning along the way.

Financial Planning 244

Financial Planning Clients Planning Commission 244

Nerd's Eye View

AUGUST 25, 2022

Historically, the career path for newer financial advisors has followed a commission-based model that was focused on sales and business development first and learning the technical aspects of financial planning along the way.

Financial Planning 242

Financial Planning Clients Planning Commission 242

Nerd's Eye View

JULY 26, 2022

In this episode, we talk in-depth about how after working for years in the financial industry, Amy realized there was a missed opportunity in working with career-driven Gen X women like her and decided to focus on serving that type of clientele she knew so well, how the initial fear of launching a firm on her own initially led Amy to partner with another (..)

Financial Planner 247

Financial Planner Management Planning Financial Advisor 247

Nerd's Eye View

JULY 12, 2024

Also in industry news this week: 2 House committees this week advanced legislation that would halt implementation of the Department of Labor's new Retirement Security Rule, which, combined with ongoing lawsuits, threaten to derail the regulation either before or soon after it becomes effective in late September A Federal judge has put the future of (..)

Financial Planner 189

Financial Planner Tax Planning Clients Accounting 189

Advisor Perspectives

JULY 25, 2025

Paramount Global’s merger with Skydance Media was approved by the US Federal Communications Commission, which backed the deal after the Trump administration extracted concessions on the news and entertainment company’s political coverage and diversity practices.

Commission 52

Commission Communication Media 52

MarketWatch

JUNE 22, 2023

The Securities and Exchange Commission on Thursday said it’s requiring JPMorgan Chase & Co. JPM to pay a $4 million penalty for allegedly violating rules for broker dealers to preserve all communications for at least three years. The SEC said JPMorgan deleted approximately 47 million communications between Jan.

Electronics 40

Electronics Communication Commission Banking 40

MarketWatch

MARCH 2, 2023

Zoom Video Communications Inc. ZM disclosed in a Thursday filing with the Securities and Exchange Commission that it has fired Greg Tomb, who served as the company’s president. The “termination without cause” is effective Friday.

Commission 75

Commission Communication Sales Clients 75

Advisor Perspectives

SEPTEMBER 25, 2023

A group of high-frequency traders, market makers and service providers calling themselves the Shortwave Modernization Coalition has asked the Federal Communications Commission for access to the shortwave band of the radio spectrum, seeking to shave crucial milliseconds off the transmission of data between major financial sectors.

Commission 52

Commission Communication Marketing Marketing 52