Displaying 10217 results
Fed’s rescue efforts leave advisers hopeful — and confused
The second government stimulus package comes as advisers are still trying to navigate the historic Cares Act
Finra panel awards $10.5 million to New York firm and its CEO
Wunderlich Securities to pay Dominick & Dickerman over 2015 deal
Why 401(k) fees are a mystery
Despite fee-disclosure requirements passed a decade ago, it's not easy for participants to figure out how much they're being charged
To spur lending, SEC loosens restrictions on business development companies
The regulator proposed easing calculations that determine asset coverage ratios, giving BDCs additional flexibility to issue securities
Wealthy win, low-wage earners lose in tax filing extension
The postponement of the tax deadline is likely to give some wealthy taxpayers an interest-free loan on their tax bills
3 suits against JPMorgan Chase’s 401(k) plan are joined
The suits allege fiduciaries failed to secure lower fees for plan participants
Fed announces up to $2.3 trillion in aid to businesses, municipalities
The Fed is starting programs to aid small and midsize businesses, as well as state and local governments
Finra rule would require stronger supervision of rogue brokers
The proposal allows hearing officers to impose additional supervision requirements for brokers involved in disciplinary matters
Cares Act student-loan relief has few takers
Workers can receive as much as $5,250 for debt repayment, tax free, from employers
Brokers try to figure out what ‘good faith efforts’ mean for Reg BI implementation
SEC has released risk alerts outlining examination expectations for Reg BI, Form CRS
Advice groups push for tax break for fees in next stimulus package
Senate Finance Committee spokesperson says that it's ‘too early to know what the legislation might encompass’
Tax group fights to stop California’s auto-IRA program
The Howard Jarvis Taxpayers Association recently lost its case against CalSavers, and has appealed the decision
SEC reaches $35 million settlement with International Investment Group
Former RIA agrees to pay disgorgement over alleged sales of fake loan assets
State regulators concerned about impact of COVID-19 on private markets
NJ securities chief warns that private placements may be used for virus-related frauds
Massachusetts slaps Janney Montgomery Scott with $286,000 fine
State regulators said the firm did little to stop a broker from short-term trading in mutual funds with front-loaded fees
Treasuries staring at negative rates after Fed’s bank move
The central bank's decision to allow banks to take on more leverage is pushing down yields on Treasuries
Virus outbreak pounds those without rainy day funds
Only 21 states require high school students take a personal finance course
SEC maintains deadline for Reg BI
The major investment-advice rule remains on track despite calls to delay implementation amid the COVID-19 crisis
Market plunge chops pension funding by 9%
The sell-off in response to the pandemic has hit some industries' pensions plans, such as airlines', harder than others, two reports suggest
Texas fines LendingClub $400,000 for unregistered sales
The online lending marketplace claims it was selling ‘covered’ securities
