The Big Picture

APRIL 25, 2023

Brian Hamburger has been one of the leading authorities in the world of registered investment advisories, broker-dealers, SEC regulatory compliance. And I would constantly hear them frustrated by the compliance department. HAMBURGER: They were just blaming compliance for everything they couldn’t do. RITHOLTZ: Right.

Compliance 162

Compliance Clients Wealth Management Management 162

Harness Wealth

FEBRUARY 4, 2025

Crypto and Digital Assets Cryptocurrencies such as Bitcoin, and digital assets such as NFTs (non-fungible tokens) are a relatively new class of alternative investments that have become easily available to both accredited and retail investors through online platforms such as Coinbase and OpenSea.

Taxes 52

Taxes Investing Investments Startup 52

The Big Picture

AUGUST 20, 2024

We were one of the last to get what’s called a value added license to the compus stat database. So any compliance people listening, I’m just spitballing here. And so it actually turns out that away from the retail space, passive is even larger in the institutional space. That’s Barry saying it. It once was.

Assets 173

Assets Management Portfolio Marketing 173

The Big Picture

JANUARY 24, 2023

Oil prices go up or down, you know, fashion retail goes in and out, unlike for example, selling an ingredient for pharmaceuticals, where they need the ingredient and you’re inspected by the FDA. RITHOLTZ: — and having the guy — the attendant asked me, do you have an even number or odd number license plate?

Investing 263

Investing Investments Numbers Banking 263

The Big Picture

SEPTEMBER 5, 2023

MILLER: And my wife always kids me about being overly eager to pay full retail. RITHOLTZ: Just, I’m not a big Instagram fan, and I’m certainly not a Facebook fan, but I’m on Threads waiting for compliance to give me approval to start threading, tweeting, I don’t even know what you would call it. MILLER: Right.

Sales 130

Sales Numbers Marketing Marketing 130

Sara Grillo

SEPTEMBER 12, 2022

” It brings to light the fundamental question of the role that institutions play in client outcomes, whether those institutions are truly putting the interests of the retail investor over those of their members, and the delicate balance between governance standards and the oppression of individual autonomy.

CFP 80

CFP Financial Planner Ethics Financial Planning 80

Harness Wealth

MAY 8, 2025

However, understanding the tax implications of operating as a Sole Proprietorship is crucial to ensure compliance and optimize financial outcomes. It does not require formal registration with the state, aside from obtaining necessary licenses or permits, making it easy to establish and maintain. Who is the Sole Proprietorship for?

Taxes 52

Taxes Tax Planning Compliance Planning 52

The Big Picture

NOVEMBER 25, 2024

Would you license these models to me? You know, you run an RIA, the SEC just comes knocking every once in a while to say, Hey, just wanna make sure the compliance program’s all set up. You had all these retail traders who started trading crypto and the available functionality of what you could build in crypto really exploded.

Portfolio 147

Portfolio Management Marketing Marketing 147