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Due diligence has come a long way since the financial crisis of 2008-2009. Indeed, back then, the due diligence process of one Southeast broker/dealer consisted of looking at what products other big b/ds were putting on their platforms and simply...
Independent broker/dealer Harrison Douglas Inc. has filed with the Financial Industry Regulatory Authority and the Securities and Exchange Commission to terminate its registrations and close the firm, after it was “unable to pay an adverse...
Advisors are expecting the summer doldrums to kick in for the stock market and the economy over the next few months, according to Rydex|SGI’s Advisor Confidence Index. The index, which surveys 150 RIAs on their views of the U.S. economy and...
With the breakaway broker debate raging, and smaller independent b/ds imploding all over the place, we launched our first Independent Broker/Dealer Report Card survey.
Variable annuities get a bad rap for a reason: they're so often used to abuse seniors. Despite a big coordinated effort among regulators to stamp out such abuse in recent years, plenty of fraudsters still manage to fly under the radar. Take one...
Proposed regulations regarding discharge of indebtedness income exclusions applicable to grantor trusts and disregarded entities The Internal Revenue Service has issued Proposed Regulations Section 1.108-9 under Internal Revenue Code Section 108(a...
Proposed regulations regarding discharge of indebtedness income exclusions applicable to grantor trusts and disregarded entities The Internal Revenue Service has issued Proposed Regulations Section 1.108-9 under Internal Revenue Code Section 108(a...
