Alternatives

Displaying 3882 results
Fidelity joins race for spot-bitcoin ETF with SEC filing
INVESTING ALTERNATIVES JUN 30, 2023
Fidelity joins race for spot-bitcoin ETF with SEC filing

It's the latest high-profile traditional financial finance firm to file for such an exchange-traded fund, after BlackRock made a splash with its June 15 application.

Crowdfunding is no Derby
INVESTING OPINION JUN 23, 2023
Crowdfunding is no Derby

Capital raises that are open to the public allow for access to new avenues of wealth-building.

It's time for financial advisors to help investors gain access to alts
INVESTING RETIREMENT PLANNING JUN 21, 2023
It's time for financial advisors to help investors gain access to alts

The long-outdated accredited investor rule has become a symbolic roadblock between retail investors and institutional-quality investments.

Crypto exchange backed by Citadel Securities, Fidelity, Schwab starts up
INVESTING ALTERNATIVES JUN 20, 2023
Crypto exchange backed by Citadel Securities, Fidelity, Schwab starts up

EDX Markets offers a ‘noncustodial’ model, meaning that it doesn’t hold clients’ digital assets during trading.

BlackRock bitcoin ETF has crypto fans wondering about change of course at SEC
INVESTING RIAS JUN 16, 2023
BlackRock bitcoin ETF has crypto fans wondering about change of course at SEC

Given the three dozen others that have filed for a bitcoin ETF without success, ETF watchers are wondering if BlackRock has an inside track to gain approval.

Merit Financial adds LPL veteran Andy Kalbaugh to its board
INVESTING RIAS JUN 14, 2023
Merit Financial adds LPL veteran Andy Kalbaugh to its board

Kalbaugh will work with the fast-growing wealth management firm's executive leadership on strategic planning.

New iCapital platform gives advisors turnkey access to alternative investments
INVESTING RIAS JUN 14, 2023
New iCapital platform gives advisors turnkey access to alternative investments

Marketplace combines hundreds of existing platforms run by providers of alternative investments into a single network.

Finra spanks Schwab with $350,000 fine over disclosures on ETNs
INVESTING ALTERNATIVES JUN 13, 2023
Finra spanks Schwab with $350,000 fine over disclosures on ETNs

Schwab self-reported the issues with disclosures related to exchange-traded notes, which occurred from January 2016 to December 2020, to Finra.

What the SEC lawsuit against Coinbase means for advisors
INVESTING OPINION JUN 08, 2023
What the SEC lawsuit against Coinbase means for advisors

Advisors will likely face more stringent compliance requirements as a result of the SEC's actions and may need to reassess their compliance programs to adequately address the unique risks associated with digital assets.

Former SEC Chair Clayton makes case for democratizing alternative investments
INVESTING RIAS JUN 07, 2023
Former SEC Chair Clayton makes case for democratizing alternative investments

Clayton took a swipe at the current leadership of the Securities and Exchange Commission for swinging too far in the wrong direction.

Coinbase crackdown widens as states push to halt staking product
INVESTING ALTERNATIVES JUN 07, 2023
Coinbase crackdown widens as states push to halt staking product

Both federal and state officials drilled in on the firm's staking program, which offers customers a return for letting their tokens be used to facilitate blockchain transactions.

House unanimously passes bills to expand accredited investor pool
INVESTING ALTERNATIVES JUN 06, 2023
House unanimously passes bills to expand accredited investor pool

The legislation mandates that the SEC think beyond current income and wealth thresholds to define the sophisticated investors who are qualified to buy private securities.

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.