MarketWatch

APRIL 17, 2023

after New Jersey Cannabis Regulatory Commission on Monday approved a renewal of the Massachusetts-based company’s cultivation and retail licenses for adult-use in the Garden State, in a reversal of a decision last week, according to spokespeople for the commission and Curaleaf. Visit MarketWatch.com for more information on this news.

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The Big Picture

NOVEMBER 25, 2022

The stock and bond markets incorporate new information into prices almost instantly, so trying to beat them is a fool’s errand, Malkiel wrote. Instead of trying to winnow winners from losers, you’re better off saving on brokerage commissions and headaches by spreading your investment dollars across the entire market. ( Businessweek ).

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Inside Information

JULY 25, 2024

Why am I bombarding you with useless information? Of course, over the years, there have also been fewer relevant articles; my Media Reviews service started decades ago as a way to synthesize all the published information that advisors were too busy to read on their own. Summit is described as a $750 million team.

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MarketWatch

JUNE 14, 2023

The European Commission said it’s taken a preliminary view that Google has breached antitrust rules in the advertising technology industry and that only a divestment of part of its services would address concerns. Visit MarketWatch.com for more information on this news. Alphabet shares weakened 0.2%

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Nerd's Eye View

MAY 10, 2024

billion (thanks to expected reductions in commissions and the embedded costs in these annuities). could save retirement plan participants $55 billion over the next 10 years (due to an expectation of more low-cost fees being offered in plans) and those rolling over workplace plans into IRAs to purchase annuities another $32.5

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Zoe Financial

JANUARY 28, 2025

3 It's Expensive Frequent trading and trying to time the market will rack up brokerage commission costs, particularly for smaller investors. Disclosure: This material provided by Zoe Financial is for informational purposes only. However, market timing easily tempts us to jump out too early or stay in too long.

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The Big Picture

MAY 13, 2023

The Intrinsic Perspective ) • The Time Thief Who Stole 106 Rare Clocks in a Daring Heist : Authorities eventually recovered 96 of the lost timepieces, including a $30 million watch commissioned for Marie Antoinette. Stratospheric IQs are like leprechauns, unicorns, or mermaids. ( Social Leverage recently launched its 4th fund.

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Nerd's Eye View

FEBRUARY 22, 2023

And although the SEC provides instructions and some guidance for RIAs in drafting their Form ADVs, the instructions allow for a wide latitude of interpretation that can make it difficult for advisers to know exactly how their firm’s information should be presented.

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Nerd's Eye View

DECEMBER 7, 2022

But for many years, advisers looking for guidance from the Securities and Exchange Commission (SEC) regarding what kind of performance advertising was permissible had to rely on fairly general guidelines and SEC staff statements in the form of “no-action” letters.

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MainStreet Financial Planning

JANUARY 17, 2025

We have also gathered some resources that may provide information and guidance to help you or your family during this time of crisis. For more information visit the CDPH website for a list of county recorders. See the State of Emergency Tax Relief page for more information and a list of all tax programs covered by this relief.

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Tobias Financial

MARCH 16, 2025

SEC registration does not constitute an endorsement of the firm by the Commission, nor does it indicate that the advisor has attained a particular level of skill or ability. It is for information and planning purposes only. To guide your review, heres a checklist covering over 25 important considerations. Download it here.

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Tobias Financial

MARCH 11, 2025

Staying informed is essential in navigating market changes, and were here to help you make sense of the latest developments. SEC registration does not constitute an endorsement of the firm by the Commission, nor does it indicate that the advisor has attained a particular level of skill or ability.

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Nerd's Eye View

JULY 12, 2024

Also in industry news this week: 2 House committees this week advanced legislation that would halt implementation of the Department of Labor's new Retirement Security Rule, which, combined with ongoing lawsuits, threaten to derail the regulation either before or soon after it becomes effective in late September A Federal judge has put the future of (..)

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MarketWatch

APRIL 17, 2023

Securities and Exchange Commission on Monday charged crypto trading platform Bittrex Inc. investors as a broker, exchange and clearing agency without registering these activities with the Commission, in violation of the law. Visit MarketWatch.com for more information on this news. The SEC alleged that Bittrex earned at least $1.3

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MarketWatch

JUNE 29, 2023

Securities and Exchange Commission in 2022. Visit MarketWatch.com for more information on this news. Fidelity Digital Assets has filed an application for a spot bitcoin exchange traded fund, after its previous filing was rejected by the U.S. Market Pulse Stories are Rapid-fire, short news bursts on stocks and markets as they move.

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Darrow Wealth Management

NOVEMBER 4, 2024

Advisors that receive commissions from selling mutual funds, insurance, annuities, or other products are incentivized to push products, leaving less time for advice. SEC advisor search The Securities and Exchange Commission offers an online search for investors to research registered investment advisory firms or advisors by name.

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MarketWatch

MARCH 10, 2023

million shares of the company’s stock to charity, according to a filing with the Securities and Exchange Commission on Friday that amended a previous filing because the shares reported had not been adjusted for last year’s stock split. Visit MarketWatch.com for more information on this news.

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MarketWatch

FEBRUARY 25, 2023

The Federal Trade Commission late Friday voted to withdraw its antitrust lawsuit against Meta Platforms Inc.’s Visit MarketWatch.com for more information on this news. s META acquisition of virtual-reality startup Within Unlimited, officially ending the agency’s high-profile case.

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Nerd's Eye View

AUGUST 26, 2024

Over the last 50 years, even the most substantial changes to occur – such as the movement away from commissions and towards fee-based compensation, and the shift from an investment-centric approach to more holistic financial planning – have taken place over decades and, in many cases, are still ongoing.

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MarketWatch

MAY 17, 2023

The Irish Data Protection Commission, which oversees the EU operations of most Silicon Valley firms, is also expected to order Meta to cease all data transfers to the U.S. Visit MarketWatch.com for more information on this news. security services once it’s shipped to servers across the Atlantic. AMZN, according to the report.

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MarketWatch

MAY 30, 2023

Securities and Exchange Commission said late Tuesday. Visit MarketWatch.com for more information on this news. Tolstedt has agreed to pay $3 million to settle charges connected with allegedly misleading investors about the success of the Community Bank, Wells Fargo’s core business, the U.S. The settlement is subject to court approval.

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MarketWatch

FEBRUARY 3, 2023

The Federal Trade Commission is preparing a possible antitrust lawsuit against Amazon.com Inc. , Visit MarketWatch.com for more information on this news. the Wall Street Journal reported Friday, citing people familiar with the matter. Amazon stock is down 4.4%

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MarketWatch

MARCH 7, 2023

version of the global crypto exchange Binance, can move forward with absorbing customer accounts and around $1 billion in crypto from Voyager Digital, a judge said — despite objections from the Securities and Exchange Commission, the Wall Street Journal reported on Tuesday. Visit MarketWatch.com for more information on this news.

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MarketWatch

MARCH 16, 2023

In a filing with the Securities and Exchange Commission, Virgin Orbit announced the operational pause beginning Thursday “in order to conserve capital while the company conducts discussions with potential funding sources and explores strategic opportunities.” Visit MarketWatch.com for more information on this news.

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Million Dollar Round Table (MDRT)

NOVEMBER 16, 2023

It’s just information. Some advisors call this “commission breath.” Either they want the help you’re offering or they don’t. You’re too attached to the outcome When you desperately need a sale, you send out desperate and needy energy that prospects will almost always subconsciously pick up on.

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MarketWatch

JUNE 12, 2023

ATVI in the form of an injunction from the Federal Trade Commission, according to a report Monday. Visit MarketWatch.com for more information on this news. MSFT appears to have another headwind in its $69 billion acquisition of videogame publisher Activision Blizzard Inc.

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Calculated Risk

NOVEMBER 26, 2024

A couple of participants remarked on the successful implementation of the Securities and Exchange Commission's money fund rules, noting that it would reduce financial stability risks posed by domestic MMFs. emphasis added

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MarketWatch

MAY 5, 2023

The Securities and Exchange Commission on Friday announced an award of nearly $279 million to a whistleblower whose information helped the agency with enforcement. The agency does not disclose information about whistleblowers’ identities. Visit MarketWatch.com for more information on this news.

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MarketWatch

MARCH 14, 2023

DXC agreed to pay an $8 million penalty and tighten up its financial reporting protocols after the Securities and Exchange Commission accused the company of making “misleading disclosures” related to its financials from 2018 to 2020, the agency said on Tuesday. The commission found that DXC violated anti-fraud and financial reporting laws.

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Investment Writing

MARCH 7, 2023

Here’s a nice, informative example from Actually, the Comma Goes Here by Lucy Cripps: Each independent clause makes sense on its own, but it links very closely in theme to the other independent clause. Disclosure: If you click on an Amazon link in this post and then buy something, I will receive a small commission.

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MarketWatch

JUNE 16, 2023

ETSY on Friday said its board approved a stock buyback plan for up to $1 billion, according to a filing with the Securities and Exchange Commission. Visit MarketWatch.com for more information on this news. Shares of the online marketplace are up 1% in extended trading Friday, but down 21% for the year.

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The Big Picture

SEPTEMBER 5, 2024

trillion in total AUM…” As he observes, it wasn’t the shift from active to passive – that had been ramping up for decades – rather, it was the changeover from transactional commission business to a fee-based fiduciary model that made all of the difference. Josh has one of the highest EQs of anyone you’ll ever meet. This matters a lot).

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MarketWatch

MARCH 6, 2023

The company has yet to file its quarterly report for the January-ending quarter with the Securities and Exchange Commission because of an accounting matter that has yet to be resolved. Visit MarketWatch.com for more information on this news. Market Pulse Stories are Rapid-fire, short news bursts on stocks and markets as they move.

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MarketWatch

JANUARY 31, 2023

“To our knowledge no government agency in any ongoing investigation has concluded that any wrongdoing occurred,” Tesla disclosed in its latest 10-K filing with the Securities and Exchange Commission in a section titled “Certain Investigations and Other Matters.” Visit MarketWatch.com for more information on this news.

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MarketWatch

JUNE 21, 2023

The Securities and Exchange Commission on Wednesday charged audit firm Marcum LLP with “systemic quality control failures’ and violations of audit standards in work conducted for hundreds of special purpose acquisition corporations. Visit MarketWatch.com for more information on this news.

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MarketWatch

MAY 22, 2023

billion) by Ireland’s Data Protection Commission, according to reports. Visit MarketWatch.com for more information on this news. Meta Platforms META was fined a record €1.2 billion ($1.3 The fine was over allegations Facebook didn’t ensure data transfers from Europe to the U.S. had appropriate safeguards.

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Sara Grillo

OCTOBER 31, 2022

In this blog, Scott Salaske of Firstmetric and I discuss the proper way to read a Form ADV so that you can get the information you need to make an informed choice and avoid working with a financial advisor who is a lying, deceptive grifter. 1 High complexity on Form ADV Part 2, Item 4, Firm Information. Form ADV Part 2.

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