SEC Releases FAQ on Form CRS
By Melanie WaddellThe FAQ addresses formatting and delivery questions; SEC says to expect more updates as questions come in.
November 26, 2019
A $15 Billion ETF Fires Up Wall Street's Booming Bond TradeThe trade involved BlackRock Inc.'s Core Euro Corporate Bond ETF.
November 26, 2019
A Broker Impersonated His Client … Twice. It Didn't Go Well.The client wanted his annuity withdrawals reduced and told the broker to "get it done."
November 26, 2019
Wash. State Continues Public LTCI Effort, in Spite of Ballot Measure ResultsThe state's voters rejected the idea of paying a tax on wages to fund the program.
November 26, 2019
Social Security Adds Hurdle for Missouri Disability ClaimantsThe shift could hurt any of your clients who lose the ability to earn a paycheck.
November 26, 2019
SALT Cap Ruling Challenged on Appeal by 4 Eastern StatesNew York, Connecticut, Maryland and New Jersey will take their challenge to the federal appeals court in Manhattan.
November 26, 2019
SEC Charges a Top Sales Agent in Woodbridge CaseBrett Pittsenbargar raised more than $18 million selling Woodbridge securities in unregistered transactions, the SEC says.
November 26, 2019
Securian to Acquire Benefits FirmSecurian is emphasizing its role as a writer of group life, AD&D and accident insurance.