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Like Leveraged ETFs? SEC Panel Wants Brokerage Firms to Vet Who Can Trade Such ‘Complex Products.’
Barrons.com· 10 hours agoThe commission’s Investor Advisory Committee wants regulators to first come up with a definition for...
Annuities Are Soaring in Popularity. They’re Not All as Safe as They Seem.
Barrons.com· 9 hours agoThe National Association of Insurance Commissioners has clear definitions and rules around...
Morgan Stanley Says a Judge’s Ruling is ‘Wreaking Havoc’ on Its Deferred-Compensation Disputes
Barrons.com· 1 day agoThe company is engaged in a lengthy legal battle with former financial advisors who say Morgan...
How to invest in penny stocks in 2024
CNN.com· 2 days agoUnderstand how to invest in penny stocks efficiently with this comprehensive guide covering all you need to get started.
Should Finfluencers Be Regulated as Financial Advisors?
Barrons.com· 1 day agoIn a survey fielded by the CFA Institute and Finra, the brokerage industry’s self-regulatory...
JD Supra: DOL Amends Fiduciary Advice Definition Regulation
JD Supra· 7 days agoOn April 23, 2024, the U.S. Department of Labor (“DOL” or “Department”) issued a final regulatory package amending its fiduciary investment advice regulation and revising numerous existing prohibited ...
FTC Bans Non-Competes | JD Supra
JD Supra· 4 days agoOn April 23, 2024, the Federal Trade Commission (“FTC”) adopted a Non-Compete Clause Rule (the “Rule”) that bans non-compete clauses between workers and employers as unfair methods of competition ...
7 Pieces of Technology You Can Use To Grow Wealth
GOBankingRates via Yahoo Finance· 4 days agoTechnology has made it easier than ever to track, manage and grow your money -- but with so many competing services and platforms, which digital tools do...
Final Fiduciary Rule – Part 2: Conflicted Transaction Relief for Investment Advice Fiduciaries | JD...
JD Supra· 3 days agoThe U.S. Department of Labor (DOL) amended Prohibited Transaction Exemption 2020‑02 (Amended PTE 2020-02) on April 25, 2024. Concurrent with the issuance of Amended PTE 2020-02, the DOL released ...
SEC.gov | “Hamilton: Ensuring Treasury Markets Are a Blessing Long Into the Future” Prepared Remarks...
U.S. Securities and Exchange Commission· 3 days agoThank you, Scott, for that kind introduction and inviting me to speak about the U.S. Treasury markets. As is customary, I’d like to note that my views are my own as Chair of the Securities and ...
