FINRA Bars Rep for Using 'Internet-Enabled' Glasses to Cheat on Exam
By Melanie WaddellJacob Spencer used eyeglasses with electronic modifications to access Series 6 material online, an order states.
August 19, 2026
Bessent Deploys Debt Buybacks in Sign of Concern Over Yield RiseOn Tuesday, the Treasury offered $2 billion for securities set to mature in the 2046-56 range. The operation was 10 times oversubscribed.
August 19, 2026
Ken Fisher's Firm Seen Behind $4B Contrarian Bond TradeThe billionaire's firm appears to be betting that the longest-dated U.S. bonds will rally.
August 19, 2026
Raymond James Hit With $125K Fine Over Fractional SharesThe firm failed to report approximately 2.56 million fractional share liquidations, according to FINRA.
August 19, 2026
Pimco's President Says Wealth Firms Running Shy of Private CreditWealth managers are beating a retreat from private credit and ramping up a search for alternatives, says Christian Stracke.
August 18, 2026
Annuity Owner Offers NAIC a Revised Annuity Buyer's GuideHe likens the current draft to "a quick-start guide for a chainsaw that omits all safety and protective gear warnings."
August 18, 2026
SEC Proposes Some Registration Exemptions for Crypto OfferingsOfferings up to $5 million would be exempted for four years and offerings up to $75 million would be exempt for 12 months.
August 18, 2026
Dynasty Closed on Over $200M in Private Market FundsIndependent advisors "are hungry for differentiated private-market opportunities typically only available to the world's largest investors," said CEO Shirl Penney.