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SEC lifts borrowing rules for funds hit by liquidity crunch
PRACTICE MANAGEMENT MAR 26, 2020
SEC lifts borrowing rules for funds hit by liquidity crunch

The regulator is allowing mutual funds to borrow from managers or other funds to meet redemption requests

By Emile Hallez
House under pressure to act on Senate’s $2 trillion stimulus package
REGULATION AND LEGISLATION MAR 26, 2020
House under pressure to act on Senate’s $2 trillion stimulus package

The House is scheduled to vote Friday; President Trump has said he would sign the legislation immediately

By Bloomberg
Wild markets set stage for winner-take-all trading competition
INDUSTRY NEWS MAR 26, 2020
Wild markets set stage for winner-take-all trading competition

The three-day event bets viewers will pay to watch traders win big and lose big

By Jeff Benjamin
An update for our Morning 5 readers
OPINION MAR 25, 2020
An update for our Morning 5 readers

Effective Monday, InvestmentNews will be consolidating our IN Daily and Morning 5 newsletters

By George Moriarty
Senate coronavirus stimulus bill waives RMDs this year
RETIREMENT PLANNING MAR 25, 2020
Senate coronavirus stimulus bill waives RMDs this year

The final measure also makes it easier to withdraw funds from retirement accounts in an emergency

By Mark Schoeff Jr.
Advisers face new M&A reality after COVID-19
RIAS MAR 25, 2020
Advisers face new M&A reality after COVID-19

An aging workforce may not be able to postpone retirement until valuations bounce back

By Ryan W. Neal
SEC further extends filing deadline; Finra pushes arb hearings back again
RIAS MAR 25, 2020
SEC further extends filing deadline; Finra pushes arb hearings back again

New SEC order eases requirement for advisory firms to explain why they need to delay ADVs

By Mark Schoeff Jr.
Top 10 IBDs ranked by revenue
BROKER DEALERS MAR 25, 2020
Top 10 IBDs ranked by revenue

The independent broker-dealers that reported the highest revenue in 2019

By InvestmentNews
Retirement relief Congress should consider now
IRA ALERT MAR 25, 2020
Retirement relief Congress should consider now

People with retirement accounts have seen losses through no fault of their own and they need a helping hand

By Ed Slott
SEC charges unregistered adviser with failing to disclose conflicts
REGULATION AND LEGISLATION MAR 25, 2020
SEC charges unregistered adviser with failing to disclose conflicts

Barred by Finra, Donald Hunter set up a private fund that bought shares he had owned personally

By InvestmentNews
Finra panel awards $800,000 in case against Stifel
PRACTICE MANAGEMENT MAR 25, 2020
Finra panel awards $800,000 in case against Stifel

Client claims rep used subterfuge to obtain consent for transactions

By InvestmentNews
Recession could hit Social Security financial outlook
OPINION MAR 25, 2020
Recession could hit Social Security financial outlook

The likelihood that people will file for benefits sooner amid a downturn and the possible decline in payroll tax revenue could put pressure on the Social Security trust fund

By Mary Beth Franklin
COVID-19 could prompt more 401(k) cash-outs
RETIREMENT PLANNING MAR 25, 2020
COVID-19 could prompt more 401(k) cash-outs

The market dive is likely to result in more early withdrawals and borrowing from retirement plans, particularly by people who don't have access to financial advice

By Emile Hallez
Advice firms will move more workers home
PRACTICE MANAGEMENT MAR 25, 2020
Advice firms will move more workers home

As businesses adapt to getting things done during the pandemic, the future of work looks more remote than ever

By Jeff Benjamin
White House, senators strike deal on $2 trillion stimulus package
REGULATION AND LEGISLATION MAR 25, 2020
White House, senators strike deal on $2 trillion stimulus package

The measure includes $500 billion to back loans and assistance to companies and more than $360 billion to aid small businesses

By Bloomberg
Wells Fargo to give extra pay to most U.S. workers amid crisis
PRACTICE MANAGEMENT MAR 24, 2020
Wells Fargo to give extra pay to most U.S. workers amid crisis

The bank will make payments to workers who earn less than $100,000 and were employed by Wells for all of 2019

By Bloomberg
Remote regulation to add new hurdles
PRACTICE MANAGEMENT MAR 24, 2020
Remote regulation to add new hurdles

Working from home would mean depending on telephone, video or online outreach

By Mark Schoeff Jr.
3 Questions: Bear markets with John Forlines
INDUSTRY NEWS MAR 24, 2020
3 Questions: Bear markets with John Forlines

The chief investment officer at W.E. Donoghue & Co. talks about how event-driven bear markets are different

By InvestmentNews
How COVID-19 is driving new financial planning business
RETIREMENT PLANNING MAR 24, 2020
How COVID-19 is driving new financial planning business

Many investors who have lost money during the pandemic are seeking out financial advice for the first time

By Emile Hallez
10 fastest-growing IBDs
OPINION MAR 24, 2020
10 fastest-growing IBDs

The independent broker-dealers that posted the biggest growth in 2019

By InvestmentNews