Displaying 10209 results
Finra censures, fines Dawn Bennett’s former firm
Western International will pay $325,000 and have its compliance methods reviewed
New York Fed to begin buying ETFs in ‘early May’
The Fed's two corporate lending programs could buy up to $750 billion in debt and exchange-traded funds
Muni market has stabilized since the pandemic jolt, but don’t skimp on credit check
Fed steps up with monetary support; experts want Congress to provide more fiscal backing
Advisers should be able to use the pass-through deduction
Amid the unprecedented economic disruption, independent contractor financial advisers are among the small business owners adversely impacted
Restore the tax deduction for advisory fees
During these challenging times, it is more important than ever that we protect and expand access to financial advice
Even with SEC guidance, advisers must decide when to disclose PPP loans
The regulator deems ‘material’ federal help to pay personnel who work with clients
SEC pulls license from New York broker-dealer
The regulator alleges Portfolio Advisors Alliance used false offering documents
Fiduciary rule rewrite still expected despite departure of DOL official
The agency may not complete the legislation until late in the year, while it deals with fallout from COVID-19
Pandemic highlights importance of estate planning
The current environment may increase clients' interest in establishing estate plans and getting all the necessary documents in place
Financial industry groups seek SEC rule on 12b-1 fee disclosure
Investor advocates: Common sense and the Investment Advisers Act require the disclosure of higher-fee funds
SEC charges California adviser with cherry-picking
The regulator alleged that Donald Kellen allocated winning trades to his own account
Catch-up contributions being weighed in Congress
A recent bill proposes tripling 401(k) and IRA limits this year
State-registered investment advisers need better cybersecurity: NASAA
Coordinated exams also show deficiencies in books and records, contracts and fee-related matters
SEC orders RBC to pay $3.9 million over share-class disclosure
The enforcement action demonstrates the agency's continued targeting of conflicts over fund fees
Oil ETF roils already volatile crude markets
USO's sale of June WTI futures contracts triggered a big move in the spread between the June and July contracts
Undoing unwanted RMDs
Ed Slott discusses whether clients who already took required minimum distributions this year can put that money back in light of the CARES Act
For charitable givers, CARES Act offers big tax breaks
The coronavirus recovery bill allows for the full deduction of your donation up to your adjusted gross income
Court orders Aequitas to disgorge $453 million in fraud case
CEO Robert Jesenik and other firm executives were barred and penalized
Texas judge shuts sham state securities regulator
The website tried to steal information by claiming to protect investors
House overwhelmingly passes aid bill
President Trump is scheduled to sign the $484 billion coronavirus stimulus package Friday
