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Market downturn shines new light on pros and cons of stock options
In the wake of the 12-year bull market, some financial planners and clients are getting their first look at the flip side of equity compensation.
Coinbase faces SEC probe on crypto listings
The firm is facing a probe into whether it improperly let Americans trade digital assets that should have been registered as securities.
Alts groups oppose state regulators’ REIT reform
The changes include raising the net-income and net-worth thresholds for purchases and imposing a portfolio concentration limit.
Worried about the growth of inflation? It may be time to buy the farm!
Investing in farmland has long been overlooked, primarily because most investors have little to no clue about how to access it.
Ex-Coinbase manager arrested in crypto insider-trading case
Ishan Wahi allegedly leaked information to his brother and a friend about when tokens were about to be listed on the exchange.
UBS loses two more arbitration cases centering on YES options strategy
The firm was ordered to pay more than $450,000 in total this week in separate complaints about the complex product.
North Dakota shuts down small RIA selling crypto, weed investments
Jeremy Carlson allegedly acted as an unregistered broker-dealer and salesperson, and engaged in fraudulent practices, according to the state's securities commissioner.
NYSE says nuh-uh to broker-dealer SPAC
The recently announced merger of the Kingswood SPAC with broker-dealer aggregator Wentworth fell short of the Big Board's listing standards.
SEC weighs waiving some rules to regulate crypto, Gensler says
The SEC chief says disclosures can be tailored for digital firms. He mentioned that such an approach is used for asset-backed securities and equity offerings.
Coming soon: Single-stock ETFs for traders but not investors
The first examples of this new strain of ETF creativity could hit the markets within days, giving day traders another toy and financial advisers another headache.
Fidelity moves into liquid alts space with two new mutual funds
The debut of the macro opportunities and risk parity strategies paves the way for an expanding alternatives lineup.
Bitcoin is more likely to hit $10,000 than $30,000, survey finds
Retail investors were more apprehensive about cryptocurrencies whereas professional investors were more open-minded toward digital assets.
Financial advisers turn surprisingly bullish on the second half
Almost 90% of survey respondents believe the stock market can erase most of the losses that occurred during the first half, according to an InspereX survey.
It’s not too late to join the liquid alts party, Morningstar says
Key to allocating to funds employing alternative strategies is knowing what to expect and not trying to time investments.
Finra arbitration orders D.E. Shaw to pay former manager $52 million in defamation suit
Four years after being fired for sexual misconduct, Daniel Michalow wins his defamation case against the $60 billion hedge fund.
UBS to pay punitive damages in $1.3 million arbitration loss over options strategy
The award contains two unusual features: $500,000 in punitive damages to the clients and a two-to-one split decision among the three-person panel.
Grayscale suing SEC after its Bitcoin ETF is rejected
The regulator found that the listing proposal didn’t do enough to prevent fraud and manipulation.
SEC orders UBS to pay $25 million over fraud involving YES options strategy
The agency said UBS reps didn't understand the complex product or whether buying it was in a client's best interests.
Crypto tax cheats likely to get relief as US crackdown hits snag
Firms are supposed to begin tracking data such as customers’ capital gains and losses starting in January.
CAIS alternatives platform valued at $1.1 billion after latest funding round
The platform has now received four rounds of outside funding in less than two years from investors that see the potential for diversification in the current market environment.
