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Senators Introduce Bills to Stop DOL Rule

A pending Department of Labor rule would raise investment advice standards for retirement accounts by requiring advisers to act as fiduciaries with respect to 401 (k) and individual retirement accounts.  As part of an effort to derail the rule, Senator Johnny Isakson of Georgia introduced legislation on February 4 that would require Congress to approve […]

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Risks Associated With Non-Traded Real Estate Investment Trusts (REITs)

A Real Estate Investment Trust (REIT) is a company that owns and, in most cases, operates income-producing real estate.  REITs typically acquire properties using the pooled capital of investors, and then pay out regular dividends to those investors.  Although shares in many REITs are publicly traded on securities exchanges, some REITs are non-traded.  Non-traded REITs […]

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State Securities Regulators Report Significant Increase in Disciplinary Action Against Unscrupulous Brokers and Investment Advisers

In its recently released annual enforcement survey, the North American Securities Administrators Association (NASAA) reported a significant increase in the number of broker and investment adviser licenses withdrawn as a result of state enforcement actions. Specifically, state regulators reported a 27% increase – from 2,796 to 3,564 – in the number of licenses withdrawn compared […]

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