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  • Ex-Broker Pleads Guilty to Bilking More Than 100 Investors
  • Here’s How FINRA Spent Its 2021 Fine Money
  • What Medicare Parts A and B Leave Out: A Medicare Customer Question
  • Citi Ordered to Pay Ex-Broker $1.4M in Gender Discrimination Case
  • Next 2 Court Dates Set for Suspect in BofA Exec Michelle Avan’s Killing
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Economy & Markets

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Schwab’s Sonders, Kleintop See a Weak Start for Economy in 2021

December 20, 2020December 21, 2020 European Compliance Association Economy & Markets, Investing Theory & Strategy, Portfolio Construction, Tax Planning & Strategies

Schwab’s Sonders, Kleintop See a Weak Start for Economy in 2021 A lot of good news is priced into markets,

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The Democratic Sweep Didn’t Happen. What Does That Mean for Your Clients’ Taxes?

December 4, 2020December 7, 2020 European Compliance Association Client News & Advice, Economy & Markets, Institutional Investing, Tax Planning & Strategies, Wealth Manager News & Advice

The Democratic Sweep Didn’t Happen. What Does That Mean for Your Clients’ Taxes? A vice president of Ayco, a Goldman

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Pelosi, McConnell Offer New Stimulus Plans as Rebound Slows

December 1, 2020December 2, 2020 European Compliance Association Economy & Markets, Legal & Compliance

Pelosi, McConnell Offer New Stimulus Plans as Rebound Slows Republican plan includes $333 billion in spending on business subsidies, including

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Stocks Prices ‘Not as Absurd’ as Some Think: Shiller

December 1, 2020December 2, 2020 European Compliance Association Economy & Markets, Investing Theory & Strategy, Portfolio Construction

Stocks Prices ‘Not as Absurd’ as Some Think: Shiller The Nobel prize-winning economist explains why today’s record stock market prices

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U.S. Stocks Climb to Record Highs on Stimulus Talks, Vaccine News

December 1, 2020December 2, 2020 European Compliance Association Economy & Markets

U.S. Stocks Climb to Record Highs on Stimulus Talks, Vaccine News S&P 500 Index advanced 1.1% to 3,662.41; Dow improved

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Agencies to Banks: Be Ready for Libor’s End

December 1, 2020December 2, 2020 European Compliance Association Economy & Markets, Fixed Income, Investing Theory & Strategy, Legal & Compliance

Agencies to Banks: Be Ready for Libor’s End One-week and two-month U.S. dollar-denominated Libor rates are expected to cease publication

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Nasdaq Joins Goldman in Push for More Diverse Boards

December 1, 2020December 2, 2020 European Compliance Association Economy & Markets, Equities

Nasdaq Joins Goldman in Push for More Diverse Boards “This listing rule is one step in a broader journey to

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Analysis 

Group Calls for Limiting Power of BlackRock, Vanguard & State Street

November 30, 2020December 14, 2020 European Compliance Association Economy & Markets, Equities, Funds, Legal & Compliance

Group Calls for Limiting Power of BlackRock, Vanguard & State Street “Outsized footprint” of Big Three “poses new issues” for

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Trump Nominates a Top Bank Regulator as Biden Starts Transition

November 27, 2020December 2, 2020 European Compliance Association Economy & Markets, Legal & Compliance

Trump Nominates a Top Bank Regulator as Biden Starts Transition Senate Banking Committee Chair Mike Crapo has signaled Brian Brooks

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Trump: No Stimulus Until After Election

October 6, 2020December 2, 2020 European Compliance Association Economy & Markets

Trump: No Stimulus Until After Election Trump tweeted that “immediately after I win, we will pass a major Stimulus Bill

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Latest Stories

  • Ex-Broker Pleads Guilty to Bilking More Than 100 Investors July 1, 2022
  • Here’s How FINRA Spent Its 2021 Fine Money June 30, 2022
  • What Medicare Parts A and B Leave Out: A Medicare Customer Question June 29, 2022
  • Citi Ordered to Pay Ex-Broker $1.4M in Gender Discrimination Case June 28, 2022
  • Next 2 Court Dates Set for Suspect in BofA Exec Michelle Avan’s Killing June 27, 2022
  • FINRA Says National Securities Corp. Must Pay $9M June 23, 2022
  • New York State Life Beneficiaries File COVID-19 Grace Period Suit June 22, 2022
  • Senate Retirement Bill Could Include LTCI Premium Provision June 21, 2022
  • Second Senate Secure Act 2.0 Bill to Be Discussed Next Week June 18, 2022
  • New Bill Would Allow Rollovers From 529 Plans to Roth IRAs June 17, 2022

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