1,291 results found

Teaching your children financial literacy may help lead them down a path of fiscal responsibility, but each child is different and what works for one may not work for all. If you are thinking about educating your children about finances, here are some ideas you can try

As part of the "Great Wealth Transfer," privately owned businesses with an aggregate value estimated at $10 trillion or more are expected to change hands. Many of these businesses will be sold to a third-party buyer.

Serving as Personal Representative of a loved one's estate can seem like a daunting responsibility. The following are some of the most important tasks a Personal Representative...

ASIC has accepted a court enforceable undertaking (CEU) from Private Wealth Pty Ltd (Sanlam) after it admitted that it failed to discharge its general Australian financial services (AFS)...

A recent enforcement action against two affiliated wealth management businesses raises concerns over whether and how other registered investment advisers will be subject to sanctions...

The SEC's Division of Investment Management will host the roundtable from 1 p.m. to 3 p.m. ET on Wednesday, March 4. Brian Daly, the Division's Director, stated that, "[w]ith retail exposure to alternative investments becoming more common, we want to help everyday investors understand the different valuation approaches used in these products."

The Securities and Exchange Commission (SEC) has raised the dollar thresholds for “qualified client” status under Rule 205-3 of the Investment Advisers Act of 1940 (Advisers Act).

The SEC rescinded Rule 202.5(e), which had codified the SEC rule requiring settling parties to agree that they would not publicly deny the SEC’s allegations. The change brings the SEC in line with the majority of federal agencies, including the CFTC which announced a similar change in early June. New language reflecting the change is already appearing in SEC orders.

In a comment letter, the SIFMA Asset Management Group ("SIFMA AMG") expressed support for a proposal by the Financial Stability Oversight Council.

Enacted on July 18, 2025, the GENIUS Act is Congress' first comprehensive federal framework for payment stablecoins...

On February 22, the Third Circuit sidestepped the Supreme Court's 2017 holding in Henson v. Santander Consumer USA Inc. and found that a purchaser of defaulted debt ...

As the third week of the US government shutdown comes to a close with no apparent end in sight, we note that the effects are being felt even in the asset-backed securities market.

On September 28, 2004, the U.S. Department of Labor (DOL) issued a final regulation allowing plan fiduciaries to satisfy their fiduciary responsibilities regarding the automatic rollover to individual retirement accounts (IRAs) of certain mandatory distributions.

What's in a name? According to the Securities and Exchange Commission, quite a bit. On September 20, 2023, the SEC adopted amendments to the Investment Company Act of 1940.

Voluntary disclosure programs exist for taxpayers that are not in compliance with their tax and information reporting obligations with respect to foreign bank accounts and assets.

On August 2, 2016, the IRS released Proposed Regulations under section 2704 of the Internal Revenue Code of 1986 ("Code").