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This is where Wall Street actually transacts
Equities
Inside the Nondescript Building Where Trillions Trade Each DayInside the Nondescript Building Where Trillions Trade Each Day

Every day, electronic trades representing trillions of dollars’ worth of equities, derivatives, currencies, and fixed-income assets pass under this roof

byMatthew Leising and Annie Massa
Apr 13, 2016
|
8 Min Read
SIFMA one of the biggest opponents of the DOL39s fiduciary rule still has concerns about the final rule
Regulation & Compliance
SIFMA: DOL Rule Is “Exceedingly Prescriptive”SIFMA: DOL Rule Is “Exceedingly Prescriptive”
byDiana Britton
Apr 8, 2016
2 Min Read
FINRArsquos Susan Axelrod Merrill Lynchrsquos Evan Charkes and LPL Financialrsquos Sarah Gill participate in a regulatory panel at SIFMArsquos annual
Regulation & Compliance
FINRA’s Senior Hotline Results in $1.25 Million in ReimbursementsFINRA’s Senior Hotline Results in $1.25 Million in Reimbursements
byDiana Britton
Apr 7, 2016
2 Min Read
MetLife Judge Found Fault With FSOC `Too Big to Fail' Review
Regulation & Compliance
MetLife Judge Found Fault With FSOC `Too Big to Fail' ReviewMetLife Judge Found Fault With FSOC `Too Big to Fail' Review
byAndrew Harris and Katherine Chiglinsky
Apr 7, 2016
3 Min Read
The 10 States With the Highest and Lowest Tax Rates in 2016 logo in a gray background |
High Net Worth
The 10 States With the Highest and Lowest Tax Rates in 2016The 10 States With the Highest and Lowest Tax Rates in 2016
byDavid H. Lenok
Apr 1, 2016
23 Slides
Owe Back Taxes? Lose Your Passport
High Net Worth
Owe Back Taxes? Lose Your PassportOwe Back Taxes? Lose Your Passport
byBen Steverman
Apr 1, 2016
7 Min Read
SEC SEAL
Real Estate
Real Investment Adviser Sold Some Fake Investments
Real Investment Adviser Sold Some Fake Investments
Mar 29, 2016
|
8 Min Read
byMatt Levine
Edward W Gjertsen II currently serves as the 2016 Chair for the Financial Planning Association
RIA
RIAs: The DOL Is Coming for You, Too
RIAs: The DOL Is Coming for You, Too
Mar 29, 2016
|
4 Min Read
byEd Gjertsen, 2016 chair of the Financial Planning Association
Yale Endowment Tax Proposal Eyed by Cash-Strapped Connecticut
High Net Worth
Yale Endowment Tax Proposal Eyed by Cash-Strapped Connecticut
Yale Endowment Tax Proposal Eyed by Cash-Strapped Connecticut
Mar 24, 2016
|
2 Min Read
byJanet Lorin
Tax Law Update: April 2016
Industry News & Trends
Tax Law Update: April 2016
Tax Law Update: April 2016
Mar 23, 2016
|
5 Min Read
byDavid A. Handler, Alison E. Lothes
logo in a gray background |
Regulation & Compliance
Lemelson Capital Management Labels Bloomberg Article “Irresponsible and Libelous”
Lemelson Capital Management Labels Bloomberg Article “Irresponsible and Libelous”
Mar 21, 2016
|
1 Min Read
AIG
Mutual Funds
AIG Advisor Group to Pay $9.5 Million to Discharge Mutual Fund Conflicts
AIG Advisor Group to Pay $9.5 Million to Discharge Mutual Fund Conflicts
Mar 14, 2016
|
2 Min Read
byMegan Leonhardt
WM.com March Madness 2016
Financial Planning
Meet the 2016 Wealth Management Madness Contenders
Meet the 2016 Wealth Management Madness Contenders
Mar 11, 2016
|
36 Slides
byWealthManagement.com Staff
rjhq
Client Relations
Raymond James Fined for Enabling Client Privacy Violations
Raymond James Fined for Enabling Client Privacy Violations
Mar 10, 2016
|
3 Min Read
byMegan Leonhardt
IRS office
Cybersecurity
Inside an IRS Imposter Scam
Inside an IRS Imposter Scam
Mar 8, 2016
|
3 Min Read
SEC Brings Risk and Data Analytics Together in Exam Unit
Regulation & Compliance
SEC Brings Risk and Data Analytics Together in Exam Unit
SEC Brings Risk and Data Analytics Together in Exam Unit
Mar 8, 2016
|
1 Min Read
byDiana Britton, Managing Editor
logo in a gray background |
Industry News & Trends
The Top CFP Holders Under 36
The Top CFP Holders Under 36
Feb 29, 2016
|
10 Slides
byWealthManagement.com Staff
Tax Law Update: March 2016
Industry News & Trends
Tax Law Update: March 2016
Tax Law Update: March 2016
Feb 19, 2016
|
5 Min Read
byDavid A. Handler, Alison E. Lothes
logo in a gray background |
Cybersecurity
Beware These 12 Tax Scams in 2016
Beware These 12 Tax Scams in 2016
Feb 17, 2016
|
12 Slides
byWealthManagement.com Staff
Deadline Extended for Filing Basis Reporting Statements
High Net Worth
Deadline Extended for Filing Basis Reporting Statements
Deadline Extended for Filing Basis Reporting Statements
Feb 11, 2016
|
1 Min Read
byAnna Sulkin Stern - Moderator, Legal Editor
bankruptcy books
Regulation & Compliance
RCAP Files for Prearranged Chapter 11
RCAP Files for Prearranged Chapter 11
Jan 29, 2016
|
4 Min Read
byMegan Leonhardt
Tax Law Update: February 2016
Industry News & Trends
Tax Law Update: February 2016
Tax Law Update: February 2016
Jan 27, 2016
|
7 Min Read
byDavid A. Handler, Alison E. Lothes
With almost all of the leading candidates having released their official tax proposals voters are faced with a glut of information Though the proposal logo in a gray background | With almost all of the leading candidates having released their official tax proposals voters are faced with a glut of information Though the proposal
Estate Planning
How The Presidential Candidates Would Change Estate and Investment Taxes
How The Presidential Candidates Would Change Estate and Investment Taxes
Jan 21, 2016
|
10 Slides
byDavid H. Lenok, Senior Editor
SEC seal
Regulation & Compliance
State Street to Pay $12 Million to Settle Pay-to-Play Scheme in Ohio
State Street to Pay $12 Million to Settle Pay-to-Play Scheme in Ohio
Jan 14, 2016
|
1 Min Read
bySarah N. Lynch and Lisa Lambert
Russia: End of 2015 Changes on Taxes and Reporting on Bank Accounts
High Net Worth
Russia: End of 2015 Changes on Taxes and Reporting on Bank Accounts
Russia: End of 2015 Changes on Taxes and Reporting on Bank Accounts
Jan 4, 2016
|
3 Min Read
+1
byAlexander Chmelev, Sergei Zhestkovand 1 more
The Best of the Best 2015 logo in a gray background | The Best of the Best 2015
Industry News & Trends
The Best of the Best 2015
The Best of the Best 2015
Dec 27, 2015
|
11 Slides
byWealthManagement.com Staff
Cerulli: Insurance Firms Most at Risk From DOL Fiduciary Rule
Regulation & Compliance
Cerulli: Insurance Firms Most at Risk From DOL Fiduciary Rule
Cerulli: Insurance Firms Most at Risk From DOL Fiduciary Rule
Dec 21, 2015
|
2 Min Read
byDiana Britton, Managing Editor
Turing CEO Martin Shkreli Arrested for Securities Fraud
Regulation & Compliance
Turing CEO Martin Shkreli Arrested for Securities Fraud
Turing CEO Martin Shkreli Arrested for Securities Fraud
Dec 17, 2015
|
4 Min Read
byNate Raymond and David Ingram
logo in a gray background |
Equities
Ten Market Milestones of 2015
Ten Market Milestones of 2015
Dec 8, 2015
|
10 Slides
byJamie McGeever
LPL to Pay Treble Damages to Elderly Client
Client Relations
LPL to Pay Treble Damages to Elderly Client
LPL to Pay Treble Damages to Elderly Client
Nov 24, 2015
|
3 Min Read
byMegan Leonhardt
gavel
Regulation & Compliance
SEC Charges Atlanta Businessman With Fraud In Nursing Home Scheme
SEC Charges Atlanta Businessman With Fraud In Nursing Home Scheme
Nov 20, 2015
|
2 Min Read
byRyan W. Neal, Associate Editor
dec-tax
Industry News & Trends
Tax Law Update: December 2015
Tax Law Update: December 2015
Nov 19, 2015
|
5 Min Read
byDavid A. Handler, Alison E. Lothes
FINRA Fines Scottrade $2.6 Million for Failing to Save Emails
Regulation & Compliance
FINRA Fines Scottrade $2.6 Million for Failing to Save Emails
FINRA Fines Scottrade $2.6 Million for Failing to Save Emails
Nov 16, 2015
|
1 Min Read
byMegan Leonhardt
Three Indicted in U.S. Over Big JPMorgan Hacking
Regulation & Compliance
Three Indicted in U.S. Over Big JPMorgan Hacking
Three Indicted in U.S. Over Big JPMorgan Hacking
Nov 10, 2015
|
1 Min Read
A trader sitting at his desk.
Equities
Citadel Blasts IEX's 'Flash Boys' Exchange Plans
Citadel Blasts IEX's 'Flash Boys' Exchange Plans
Nov 9, 2015
|
3 Min Read
byJohn McCrank

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