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Silver lining in BDC fundraising figures
The current environment is one step along the continuum toward transparent pricing in alternative assets.
Finra fines Raymond James $2 million over emails
Regulator said firm's review system was 'flawed in significant respects.'
Finra advances proposals to clarify outside business activities, churning rules
Compliance experts say the changes would focus enforcement on investor harm.
LPL loses $462,000 arbitration claim stemming from broker who ran Ponzi scheme
LPL was deemed liable for not supervising the broker, Charles Fackrell, who has been sentenced to five years in prison for defrauding clients.
Finra will publish budget for first time in 2018
Broker-dealer regulator's effort to be more transparent about finances stems from ongoing self-evaluation.
Former State Farm rep barred by Finra
Kim Le's outside business activities were subject of investigation
Political ETFs have fair share of haters
Getting even a rough sense of how governments influence share prices is a task fraught with peril.
Two more bitcoin ETFs test luck with SEC
The GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF would trade on the Cboe BZX exchange.
CFP Board modifies details of revised standards but maintains strengthened fiduciary duty
Under second proposal, CFP Board tweaks pre-engagement client disclosure, clarifies rules for non-financial-planning advice.
Congress sends Trump tax-cut bill
House Republicans passed the most extensive rewrite of the U.S. tax code in more than 30 years.
Finra fines Merrill Lynch $1.4 million over extended settlement transactions
Regulator said non-standard trades led to firm miscalculating net capital.
Ex-Smith Barney broker who needed new heart in fight with Morgan Stanley over clients
Broker claims he had an agreement to get half of his book of business back if he returned to work.
Final tax bill gives pain, relief to financial advisers
Legislation would eliminate itemized deduction for investment advice fees, give income tax breaks depending how a business is structured, and allow for continued stock-sale flexibility.
Tax plan: Everything financial advisers need to know about the final bill
The latest version of the Tax Cuts and Jobs Act has many changes from current law that would affect advisers and clients.
Report: Arbitrations handled by non-lawyers can harm investors
A report by the Public Investors Arbitration Bar Association charges that investors using a non-attorney representative in a…
Cryptocurrency frenzy poses a challenge to advisers
Be sure to have a solid, informed case for your viewpoint on bitcoin.
Finra bars former LPL broker for ‘misrepresentations’
Leslie Koonce denied he took part in private securities transactions.
Regulators showing renewed interest in cracking down on investment fees
SEC, Finra targeting high-fee share classes, 12b-1 fees and failure to give sales load discounts and waivers to investors.
Tax update: Brady says sales tax deduction in final bill
Taxpayers will be able to deduct state income taxes or state sales taxes in addition to property levies — up to a $10,000 cap.
Finra bars former MML broker for refusing on-record testimony
Self-regulator was investigating Brian Travers' outside business and private securities transactions.
