A brokerage and two of its registered representatives agreed to pay the SEC a little more than $1 million for violating Reg BI by churning client accounts, according to orders released Monday. The Securities and Exchange Commission charged Richard Michalski and Michael Murray, two reps for Laidla Learn more about reprints...
A Finra proposal on performance advertising aims to align its oversight of broker marketing with the SEC’s marketing rule for investment advisors — a move that would help dually registered advisors adhere to both regulations. The Financial Industry Regulatory Authority Inc. filed a proposal l Learn more about reprints and licensing...
There’s hardly been a quiet year for bitcoin since its inception, but 2023 has been a standout: The price of the digital asset has more than doubled, the U.S. is on the cusp of having spot-price bitcoin ETFs, and the founder of a major exchange that melted down in...
Paying for college is seldom easy, and there are several factors at play that will soon make planning for it simpler and harder in their own ways. Next year, provisions from the SECURE 2.0 Act take effect that will allow employers to offer some financial benefits to workers who are...
It’s touted as crypto’s big breakthrough on Wall Street: The imminent arrival of bitcoin exchange-traded funds that will kick open investing in digital currency to the institutional and retail masses. That’s driving the latest hype cycle in the world’s largest token on bet Learn more about reprints and licensing for this article.
Tiger Woods of the United States and Rory McIlroy of Northern Ireland walk to the 11th fairway during a practice round prior to the 2023 Masters Tournament at Augusta National Golf Club on April 03, 2023 in Augusta, Georgia. Christian Petersen | Getty Images Sport | Getty ImagesTiger Woods and...
Check out the companies making headlines in midday trading. Zoom Video Communications — The software stock added nearly 2% ahead of its third-quarter earnings due after market close. Analysts polled by FactSet expect $1.08 per share in earnings and revenue of $1.12 billion for the quarterly period, compared to...
