DOL Fiduciary Rule Could Complicate Rollovers for RIAs
Think the DOL fiduciary rule won't affect RIAs? Think again.
Top 15 Best Cities for Millennials to Live: 2015
Here are 15 cities packed with job opportunities, affordable housing and things to do, along with sizable young adult populations.
SEC, FINRA Enforcement: Bob Marley’s Son’s Coffee Company Faces Pump-and-Dump Probe
Meanwhile, Deutsche Bank Securities hit with $1.4M fine for short interest reporting rule violations.
IRS, Treasury Continue Tax Inversion Crackdown
But only legislation “can decisively stop” inversions, Treasury Secretary Jack Lew says.
Schwab, Fidelity Halt Sales of RCS, AR Capital Products, Again
This news follows a recent decision by AR Capital to stop issuing new investment programs starting Jan. 1.
SEC Charges Woman With Ripping Off Immigrant Investors to Go on a Cruise
Lin Zhong of South Florida and her company used money invested by EB-5 immigrants to cover personal expenses, SEC says.
REITs Break Into World of Crowdfunding
Through an e-REIT, Fundrise plans to raise $50 million online to invest in commercial properties under new crowdfunding rules.
Is a 401(k)-to-IRA Rollover Worth It? FeeX Runs the Numbers
When clients change jobs, should they roll their 401(k) into an IRA? FeeX, which tracks hidden account fees, says usually there's one clear answer.
5 Biggest Myths About Saving Money, According to a Millennial
Financial planners, brace yourselves: Ethan Bloch, a 30-year-old tech entrepreneur, says much of the money advice aimed at millennials is way off the mark.
SEC Hits Sands Brothers With $1M Fine for Repeat Violation of Custody Rule
The firm paid a $60,000 fine for custody rule violations five years ago. There's “no place for recidivism in the securities markets,” the SEC says.