Alternatives

Displaying 3870 results
SEC sues Coinbase for breaking securities rules
INVESTING ALTERNATIVES JUN 06, 2023
SEC sues Coinbase for breaking securities rules

Regulator’s suit comes day after the agency sued crypto platform Binance for a wider set of violations.

Market volatility exposes generation gap among investors
INVESTING RIAS JUN 05, 2023
Market volatility exposes generation gap among investors

As the banking crisis unfolded during the first quarter, the youngest investors were loading up on financial sector stocks and crypto, while older investors backed off.

SEC sues crypto platform Binance for violating securities rules
INVESTING ALTERNATIVES JUN 05, 2023
SEC sues crypto platform Binance for violating securities rules

The agency has for months been probing whether Binance illegally sold digital coins as the exchange was getting off the ground in 2017.

Finra fines B-D $30,000 over rep's medical marijuana biz
INVESTING ALTERNATIVES JUN 02, 2023
Finra fines B-D $30,000 over rep's medical marijuana biz

Park Avenue Securities fell short in its supervision of a rep who helped operate a cannabis business, the regulator says.

House vote advances bill to set SEC test to become accredited investor
INVESTING ALTERNATIVES JUN 01, 2023
House vote advances bill to set SEC test to become accredited investor

The legislation seems to strike a balance between concerns about allowing ordinary investors to buy private placements and creating opportunities for them to diversify their portfolios.

Democratization of markets doesn’t mean all investors should vote for private placements
INVESTING ALTERNATIVES JUN 01, 2023
Democratization of markets doesn’t mean all investors should vote for private placements

Investor harm is occurring among so-called sophisticated investors, and strong guardrails must be put in place if access to unregistered securities becomes easier for retail investors.

California B-D that sold GWG bonds files for bankruptcy
INVESTING ALTERNATIVES MAY 31, 2023
California B-D that sold GWG bonds files for bankruptcy

Irvine-based JRL Capital Corp. reported total assets of $43,000 and total investor claims against the firm of $2.5 million.

Philly broker in hot water, again, over alt sales
INVESTING ALTERNATIVES MAY 30, 2023
Philly broker in hot water, again, over alt sales

Austin Dutton last week lost an industry arbitration claim of $43,645 to a client related to sales of GWG bonds.

Fidelity leans into alternative strategies as demand grows amid economic uncertainty
INVESTING RIAS MAY 30, 2023
Fidelity leans into alternative strategies as demand grows amid economic uncertainty

Fidelity's alts platform, which launched in 2013, has seen assets grow by 70% since 2020.

Advisor Group's Jamie Price talks about the firm's rebranding
INVESTING ALTERNATIVES MAY 25, 2023
Advisor Group's Jamie Price talks about the firm's rebranding

In a Q&A, the Advisor Group CEO discusses what's involved in squeezing the giant operation under one broker-dealer roof and brand.

Crypto startup gets special purpose broker-dealer license with SEC
INVESTING ALTERNATIVES MAY 23, 2023
Crypto startup gets special purpose broker-dealer license with SEC

The approval allows Prometheum Ember Capital to safekeep digital asset securities on behalf of individual and institutional clients as a qualified custodian.

How innovations in non-listed REIT redemption programs meet investor needs
INVESTING OPINION MAY 23, 2023
How innovations in non-listed REIT redemption programs meet investor needs

The new generation of nontraded REITs has been designed with monthly or quarterly repurchase limits to align the interests of stockholders with the less liquid nature of the assets.

Sales of nontraded REITs remain weak in April
INVESTING ALTERNATIVES MAY 23, 2023
Sales of nontraded REITs remain weak in April

Nontraded real estate investment trusts reported $485 million of sales in April, the lowest level since August 2020, according to Stanger.

Finra arbitrators order Fidelity to pay options trader nearly $4 million
INVESTING ALTERNATIVES MAY 19, 2023
Finra arbitrators order Fidelity to pay options trader nearly $4 million

The dispute revolved around an account that was liquidated following the sharp market downturn at the beginning of the Covid pandemic.

What keeps these top securities regulators awake at night?
INVESTING RIAS MAY 19, 2023
What keeps these top securities regulators awake at night?

"I call it B-D/IA arbitrage," Finra's Christopher Kelly said, describing his concern about advisors flouting the boundaries between charging clients fees and commissions.

Finra chair: Industry needs to improve disclosures about complicated investments
INVESTING EQUITIES MAY 18, 2023
Finra chair: Industry needs to improve disclosures about complicated investments

'We do it in a way where they're virtually unreadable,' Eric Noll, CEO of Context Capital Partners, said of disclosures at the Finra annual meeting.

Here's why the real estate market is too shaky even for spiffed-up REITs
INVESTING ALTERNATIVES MAY 09, 2023
Here's why the real estate market is too shaky even for spiffed-up REITs

At least one critic of the newfangled REITs is not convinced they can weather the storm in commercial real estate.

SEC approves stronger reporting requirements for private fund advisors
INVESTING RIAS MAY 03, 2023
SEC approves stronger reporting requirements for private fund advisors

Hedge funds with at least $1.5 billion in assets now have to report significant investment losses and withdrawals to the SEC within 72 hours.

Advisors express caution, enthusiasm about being gatekeepers to private markets
INVESTING RIAS MAY 02, 2023
Advisors express caution, enthusiasm about being gatekeepers to private markets

Legislation recently approved by a House committee would deem the clients of investment advisors to be accredited investors.

Yieldstreet, Equity Trust link up to increase access to alternatives
INVESTING ALTERNATIVES MAY 02, 2023
Yieldstreet, Equity Trust link up to increase access to alternatives

Clients with IRAs at Equity Trust can now invest directly in alternative investments on Yieldstreet through a new platform called WealthBridge.