UNCOVERED: 4 | History Defined

Short Circuit: A Roundup of Recent Federal Court Decisions

BB guns, late deliveries, and a defaulting guard.

Reason · Nov 29, 2024

DC Circuit Finds Some FINRA Authority Violates Private Nondelegation Doctrine

The private nondelegation doctrine is getting an increasing amount of attention from the courts.

Reason · Nov 24, 2024

SEC and FINRA make tZero second recipient of special crypto license following controversial Prometheum approval

The approval comes amid calls from the crypto industry for regulatory clarity from the Gensler-led SEC.

Fortune · Sep 10, 2024

How SIPC Works and What Investors Should Know About It

The Securities Investor Protection Corp. will help get your cash and securities back if your broker-dealer fails. Here's a look at how SIPC works.

Kiplinger · Mar 7, 2024

Morgan Stanley Fined by US Regulator for Municipal Securities Violations

Morgan Stanley, a leading financial services firm, has been fined by US regulator FINRA for violations related to municipal securities, highlighting the im...

Top News · Feb 15, 2024

Financial Adviser Designations Are Not All the Same

Just because a financial adviser has credentials after their name doesn’t mean they meet the same rigorous standards as others do. How to figure out who you can trust.

Kiplinger · Nov 9, 2023

Arbitrators, Like Judges, Are Immune from Libel Lawsuits Based on Their Opinions

From today's decision by Judge Jia Cobb in Seltzer v. Financial Industry Regulatory Authority: Plaintiff Susan Seltzer participated in an arbitration proceeding before the Financial Industry Regulatory Authority (FINRA). The arbitration concluded with a written award that was published online. Seltzer alleges that the award defamed her by incorrectly describing…

Reason · Sep 5, 2023

Laid Off Near Retirement? How to Prepare for What’s Next

While this is a very stressful time, it’s also an opportunity to reassess values, visions and dreams and get plans in place for the future.

Kiplinger · Jul 22, 2023

Gen Z Investors Start Surprisingly Early, Prefer Crypto to Stocks

Gen Z has developed its own unique investing behaviors that reflect its status as the first truly "digital native" generation.

Kiplinger · Jun 8, 2023

How to Find Room for Philanthropy Despite Challenging Times

The 'philanthropic squeeze' hits when consumers face higher costs and lower investment returns. Consider these three ways to maintain charitable giving.

Kiplinger · May 17, 2023