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4 unusual IRA issues related to deaths in 2020
New tax rules for this year may change the results that you expected
Fed holdings of bond ETFs now total $2.98 billion
The central bank also signaled that its lending program for states and municipalities will open soon
Finra orders Stifel to pay $3.6 million for violations in sales of unit investment trusts
About $1.9 million goes to harmed customers, an emphasis for the new Finra enforcement director
Schorsch REIT executive Brian Block heading to prison
The former chief financial officer of American Realty Capital Properties Inc. will start an 18-month prison sentence in August
Pandemic recovery offers opportunity to press deregulation
State regulators have asked Congress to halt SEC efforts to ease private-market rules
Galvin smacks GPB with fraud charge
The lawsuit alleges conflicts of interest and misleading marketing at GPB funds
Finra changes membership process to curb the ability to sidestep arbitration awards
New rules target brokers with pending claims that are switching firms or trying to transfer assets
MEPs costlier than similarly sized 401(k)s: Study
A new paper that examines costs of multiple-employer plans sponsored by benefits outsourcing firms found that such plans can be expensive
Daniel Wiener shames fee-based advisers for taking COVID-19 stimulus money
The Adviser Investments chairman says RIAs taking handouts are either weak business managers or simply immoral
CFP Board revamps its rules to allow video hearings
The move reflects the need to replace in-person hearings in light of COVID-19
SEC shuts Riverside, Calif., RIA running a Ponzi scheme
eGate and its owner, Paul Horton Smith, charged with fraud that targeted senior citizens
Fed bought $1.8 billion of bond ETFs to date
The Fed data also showed total Fed assets rose to a record $7.04 trillion in the latest week
Industry arbitration claims spike as coronavirus disruptions continue
Promissory note cases lead the way, signaling potential ‘employment upheaval’
Finra bars no-show former Wells FiNet broker
Wells Fargo fired Leonard Kinsman of Staten Island, N.Y., for “unprofessional conduct”
Troubles of giant oil ETF raise questions about commodity funds
The United States Oil Fund’s extraordinary buying and selling suggests the ETF may have gotten too big for its own good
Twitter war erupts as Dave Ramsey defends timeshare exit endorsement
The radio host took to social media to rail against the timeshare industry
Time for Dave Ramsey to check out of this timeshare exit endorsement
The radio host touts a business at the center of a lawsuit by Washington state's attorney general
Congress pressed to mandate higher giving amid crisis
Proposal would require foundations and donor-advised funds to donate 10% of their total assets to charities in each of the next three years
Trade group sues SEC to stop collection of retail investor data
SEC goes too far in gathering names, addresses and birth years for new market surveillance system, group argues
Wells Fargo’s market value is down $220 billion since Fed cap
The limit the Fed imposed on the bank's assets are hitting harder as corporate customers draw down credit lines amid the pandemic
