Regulation

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Finra changes membership process to curb the ability to sidestep arbitration awards

Finra changes membership process to curb the ability to sidestep arbitration awards

May 26, 2020

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

MEPs costlier than similarly sized 401(k)s: Study

May 26, 2020

A new paper that examines costs in multiple-employer plans sponsored by benefits outsourcing firms found that such plans can be costly

CFP Board revamps its rules to allow video hearings

CFP Board revamps its rules to allow video hearings

May 26, 2020

The move reflects the need to replace in-person hearings in light of COVID-19

Roth conversions pick up amid expectations that taxes will rise

Roth conversions pick up amid expectations that taxes will rise

May 22, 2020

The stock market declines helped by shrinking the value of accounts, as well as the tax bill for converting assets

SEC shuts Riverside, Calif., RIA running a Ponzi scheme

SEC shuts Riverside, Calif., RIA running a Ponzi scheme

May 22, 2020

eGate and its owner, Paul Horton Smith, charged with fraud that targeted senior citizens

Fed bought $1.8 billion of bond ETFs to date

Fed bought $1.8 billion of bond ETFs to date

May 21, 2020

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

Industry arbitration claims spike as coronavirus disruptions continue

May 21, 2020

Promissory note cases lead the way, signaling potential ‘employment upheaval’

Finra bars no-show former Wells FiNet broker

Finra bars no-show former Wells FiNet broker

May 21, 2020

Wells Fargo fired Leonard Kinsman of Staten Island, N.Y., for “unprofessional conduct”

Smarsh acquires maker of cybersecurity tools

Smarsh acquires maker of cybersecurity tools

May 21, 2020

The acquisition of Entreda will round out the firm’s compliance offering

Troubles of giant oil ETF raise questions about commodity funds

Troubles of giant oil ETF raise questions about commodity funds

May 21, 2020

The United States Oil Fund’s extraordinary buying and selling suggests the ETF may have gotten too big for its own good

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