SEC's Use of In-House Judges Cast in Doubt by Supreme Court
By Greg StohrThe justices suggested that fraud defendants have a constitutional right to a jury trial.
November 30, 2023
Top 10 States for Medicare Advantage Search InterestWe asked Google Trends to look into its crystal ball during the ongoing annual enrollment period.
November 30, 2023
How Life Insurance Policy Reviews Trip Up Fiduciary AdvisorsThe potential liability for financial professionals who fail to meet their duties of due diligence can be significant.
November 30, 2023
Consumer Reps Ask States to Change Annuities' FacesAdvocates Birny Birnbaum and Brenda Cude say product illustrations make hypothetical returns look too pretty.
November 30, 2023
KKR Agrees to Pay $2.7B for Full Control Over Annuity IssuerThe asset manager wants Global Atlantic, a major issuer of fixed annuities, to help grow private wealth sales.
November 30, 2023
CAIS, Pershing Expand Alternatives CollaborationThe offering provides access to alternative investments via CAIS with no transaction fees for Pershing clients' funds.
November 30, 2023
New Senate Bill Would End 'Buy, Borrow, Die' Strategy for Wealthiest InvestorsThe Billionaires Income Tax Act would require the wealthiest investors to recognize capital gains and losses every year.
November 30, 2023
BofA Securities Hit With $24M FINRA Fine for SpoofingThe penalty follows orders traders didn't intend to have executed to create an appearance of Treasury market activity.