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Sales of nontraded REITs remain weak in April
Nontraded real estate investment trusts reported $485 million of sales in April, the lowest level since August 2020, according to Stanger.
Finra arbitrators order Fidelity to pay options trader nearly $4 million
The dispute revolved around an account that was liquidated following the sharp market downturn at the beginning of the Covid pandemic.
What keeps these top securities regulators awake at night?
"I call it B-D/IA arbitrage," Finra's Christopher Kelly said, describing his concern about advisors flouting the boundaries between charging clients fees and commissions.
Finra chair: Industry needs to improve disclosures about complicated investments
'We do it in a way where they're virtually unreadable,' Eric Noll, CEO of Context Capital Partners, said of disclosures at the Finra annual meeting.
Here’s why the real estate market is too shaky even for spiffed-up REITs
At least one critic of the newfangled REITs is not convinced they can weather the storm in commercial real estate.
SEC approves stronger reporting requirements for private fund advisors
Hedge funds with at least $1.5 billion in assets now have to report significant investment losses and withdrawals to the SEC within 72 hours.
Advisors express caution, enthusiasm about being gatekeepers to private markets
Legislation recently approved by a House committee would deem the clients of investment advisors to be accredited investors.
Yieldstreet, Equity Trust link up to increase access to alternatives
Clients with IRAs at Equity Trust can now invest directly in alternative investments on Yieldstreet through a new platform called WealthBridge.
Nonfungible tokens held in IRAs can trigger big tax hit
If clients are holding NFTs in their individual retirement accounts, review them to see which tokens are acceptable assets and which may be deemed a collectible under IRS guidance.
Gary Gensler has his game face on
With cheerleaders on the left and critics on the right, the chair of the Securities and Exchange Commission stays focused on what matters.
Asset managers hash out the future of the 60/40 portfolio
For a lot of investors, moving beyond the classic allocation of 60% stocks and 40% bonds will mean a bigger allocation to alternatives and other active strategies.
House committee OKs bills expanding pool of sophisticated investors
The legislation would amend the definition of accredited investor to include people who have certain licenses, education or experience.
Advisors want to use alternatives. Here are 3 reasons they aren’t
The investments may fit the times, but lack of choice and transparency, and liability fears help explain why some are dissatisfied with the offerings.
iCapital launches structured investments offering on Envestnet
The integration provides advisors with proposal generation tools, analytical features, trading workflows and the ability to integrate data on structured investments into client reports.
Advisors seen as crucial as financial crisis fears mount, Nationwide says
According to Nationwide’s eighth annual Advisor Authority survey, four in 10 investors believe that the US is already in a financial crisis and three in 10 believe the U.S. is approaching one.
Financial advisors wave the caution flag in client portfolios
Fidelity research shows a trend toward de-risking and an increased focus on diversification in the portfolios advisors build for their clients.
Lawmakers press Gensler over climate, crypto and rulemaking pace
Republicans on the House Financial Services Committee questioned the SEC leader about the roughly 50 rules the agency has proposed over the past two years.
Advisor Group RIAs add alts, and fresh conflict, to platform
The agreement between Advisor Group and CAIS on sales of alternative investments, and the revenue such sales would generate, is the crux of the matter.
Advisors expect more crypto problems after FTX meltdown
Most advisors are avoiding recommending cryptocurrencies to their clients, a CoreData Research survey found.
Financial advisors are jumping on the bull market bandwagon
As some of the worst performers of 2022 rebound in the first quarter, the outlook for the financial markets looks rosy.
