Regulators at the Securities and Exchange Commission issued a report to Congress on Tuesday that supports maintaining mark-to-market rules, rejecting a push from the banking industry to suspend the rules.Critics of the rules say the regulations mandate write-downs and don't reflect the true value of some assets, particularly mortgage-linked assets that could increase in value in time.The SEC said suspending the rules would weaken transparency and ultimately hurt investors and the capital markets.
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At their institutional investor day, Charles Schwab executives say they see a huge opportunity in arranging securities-backed loans for firms in its RIA network.
May 14 -
Financial planners and organic growth experts understand why some may hesitate to start posting videos. But the benefits far outweigh any risk of embarrassment.
May 14 -
A series of settlements and arbitration awards since late 2022 require Stifel to pay hundreds of millions over recommendations made by its former broker Chuck Roberts.
May 13 -
Rossby Financial is deploying a profitability tool as it competes against much larger RIAs for financial advisor talent.
May 13 -
Jack Mullen has built an ultrahigh net worth niche at Merrill Private Wealth Management that functions much like a family office. Here's how he did it, in our latest installment of Know Your Niche.
May 13 -
Join us next month for a discussion on whether more clients should be in private markets, how advisors can explain the pros and cons of alternative investments, and just where crypto and digital assets belong.
May 12








