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Risk alert. | Copyright Chip Somodevilla, Getty Images
The Securities and Exchange Commission is warning broker/dealers that their guardrails around selling so-called structured notes are, almost without exception, weak. The commission iss...
In the past, REP. has ranked independent broker/dealers by advisor headcount. While that metric can shed light on the size, scale and recruiting prowess of a firm, the business is no longer simply about the numbers. Instead, the editors—with...
• Estate denied charitable deduction for remainder interests in a NIMCRUT—In Estate of Arthur E. Schaefer, 145 T.C. No. 4 (July 28, 2015), the Tax Court ruled on the proper method for calculating the value of the remainder interest in a...
Hedging his bets. | Copyright Noam Galai, Getty Images
Billionaire entrepreneur Mark Cuban says the volatility in the markets is being driven by high frequency trading. “What happens is that there are so many different algorithms that are ...