SEC Chief Says the U.S. Won't Ban Cryptocurrencies
By Ben BainThe U.S. won't follow China's lead in banning digital tokens and remains focused on investor and consumer protection rules, says Gary Gensler.
October 01, 2021
'Antiquated' Financial Industry Leaves Millions of Americans Behind: Jason WenkGood financial advice is becoming more exclusive thanks to the entrenched interests of legacy firms, the Altruist CEO tells ThinkAdvisor.
October 01, 2021
State Securities Regulators Report Tripling of Digital Asset Enforcement ActionsRegulators also reported almost twice as many cases involving self-directed IRAs in 2020 as a year earlier, according to NASAA.
October 01, 2021
Supreme Court to Hear Ex-Ameriprise Advisor's Arb Case ChallengeAdvisor Denise Badgerow had alleged she was fired from Ameriprise affiliate REJ Properties in retaliation for reporting the conduct of REJ's principals.
October 01, 2021
LPL Failed to Vet Client, Allowed Fraudulent Wire Transfers: SECThe client misappropriated $3 million from a Puerto Rican city after opening an LPL account, the SEC says.
September 30, 2021
Peter Mallouk: Target Date Funds a 'Terrible Choice' for Most InvestorsThe Creative Planning CEO sparked a heated debate over the merits of this popular retirement investment.
September 30, 2021
Kitces: The 5 Trends Shaking Up the Advisor WorldA new wave of technological disruption is here, Michael Kitces says. What's an advisor to do?
September 30, 2021
Senator Warns SEC Chief Not to Crack Down on Trading AppsThe SEC's mission "does not extend to protecting investors from themselves," Sen. Pat Toomey writes.