MarketWatch

MARCH 6, 2023

The European Commission said Monday that the WhatsApp unit of Meta Platforms META has agreed to be more transparent on changes to its terms of service and make it easier for users to reject updates when they disagree with them. Visit MarketWatch.com for more information on this news. Meta shares closed Friday at $185.25, up 6%.

Commission 40

Commission Advertising Marketing Marketing 40

Nerd's Eye View

OCTOBER 25, 2023

In 2019, the SEC released a Commission Interpretation that separated the obligation of RIAs to act in their clients' best interests into separate duties of care (to provide investment advice in the best interest of the client) and loyalty (to eliminate or disclose all potential conflicts of interest with the client).

Fiduciary Duty 206

Fiduciary Duty Commission Clients Accounting 206

MarketWatch

APRIL 17, 2023

Securities and Exchange Commission on Monday charged crypto trading platform Bittrex Inc. investors as a broker, exchange and clearing agency without registering these activities with the Commission, in violation of the law. Visit MarketWatch.com for more information on this news. The SEC alleged that Bittrex earned at least $1.3

Commission 98

Commission Compliance Marketing Marketing 98

MarketWatch

JUNE 29, 2023

Securities and Exchange Commission in 2022. Visit MarketWatch.com for more information on this news. Fidelity Digital Assets has filed an application for a spot bitcoin exchange traded fund, after its previous filing was rejected by the U.S. Market Pulse Stories are Rapid-fire, short news bursts on stocks and markets as they move.

Commission 98

Commission Assets Marketing Marketing 98

MarketWatch

JUNE 12, 2023

ATVI in the form of an injunction from the Federal Trade Commission, according to a report Monday. Visit MarketWatch.com for more information on this news. MSFT appears to have another headwind in its $69 billion acquisition of videogame publisher Activision Blizzard Inc.

Commission 85

Commission Marketing Marketing 85

MarketWatch

MARCH 10, 2023

million shares of the company’s stock to charity, according to a filing with the Securities and Exchange Commission on Friday that amended a previous filing because the shares reported had not been adjusted for last year’s stock split. Visit MarketWatch.com for more information on this news.

Commission 98

Commission Marketing Marketing 98

The Big Picture

MAY 13, 2023

The Intrinsic Perspective ) • The Time Thief Who Stole 106 Rare Clocks in a Daring Heist : Authorities eventually recovered 96 of the lost timepieces, including a $30 million watch commissioned for Marie Antoinette. Stratospheric IQs are like leprechauns, unicorns, or mermaids. ( Social Leverage recently launched its 4th fund.

Commission 266

Commission Economy Investing Investments 266

MarketWatch

JUNE 16, 2023

ETSY on Friday said its board approved a stock buyback plan for up to $1 billion, according to a filing with the Securities and Exchange Commission. Visit MarketWatch.com for more information on this news. Shares of the online marketplace are up 1% in extended trading Friday, but down 21% for the year.

Commission 76

Commission Planning Marketing Marketing 76

MarketWatch

MAY 5, 2023

The Securities and Exchange Commission on Friday announced an award of nearly $279 million to a whistleblower whose information helped the agency with enforcement. The agency does not disclose information about whistleblowers’ identities. Visit MarketWatch.com for more information on this news.

Commission 75

Commission Marketing Marketing 75

MarketWatch

FEBRUARY 25, 2023

The Federal Trade Commission late Friday voted to withdraw its antitrust lawsuit against Meta Platforms Inc.’s Visit MarketWatch.com for more information on this news. s META acquisition of virtual-reality startup Within Unlimited, officially ending the agency’s high-profile case.

Startup 98

Startup Commission Marketing Marketing 98

MarketWatch

MAY 17, 2023

The Irish Data Protection Commission, which oversees the EU operations of most Silicon Valley firms, is also expected to order Meta to cease all data transfers to the U.S. Visit MarketWatch.com for more information on this news. security services once it’s shipped to servers across the Atlantic. AMZN, according to the report.

Commission 98

Commission Marketing Marketing 98

The Big Picture

NOVEMBER 25, 2022

The stock and bond markets incorporate new information into prices almost instantly, so trying to beat them is a fool’s errand, Malkiel wrote. Instead of trying to winnow winners from losers, you’re better off saving on brokerage commissions and headaches by spreading your investment dollars across the entire market. ( Businessweek ).

Commission 302

Commission Budgeting Economics Retail 302

MarketWatch

MAY 30, 2023

Securities and Exchange Commission said late Tuesday. Visit MarketWatch.com for more information on this news. Tolstedt has agreed to pay $3 million to settle charges connected with allegedly misleading investors about the success of the Community Bank, Wells Fargo’s core business, the U.S. The settlement is subject to court approval.

Commission 98

Commission Distribution Retirement Accounting 98

MarketWatch

MARCH 14, 2023

DXC agreed to pay an $8 million penalty and tighten up its financial reporting protocols after the Securities and Exchange Commission accused the company of making “misleading disclosures” related to its financials from 2018 to 2020, the agency said on Tuesday. The commission found that DXC violated anti-fraud and financial reporting laws.

Commission 75

Commission Accounting Marketing Marketing 75

Ron A. Rhodes

MARCH 18, 2023

While the SEC has provided an interpretative release [SEC Release IA-5248, Commission Interpretation Regarding Standard of Conduct for Investment Advisers (July 12, 2019)] regarding the fiduciary duties of investment advisers,…

Fiduciary Duty 69

Fiduciary Duty Commission Investing Investments 69

MarketWatch

MARCH 16, 2023

In a filing with the Securities and Exchange Commission, Virgin Orbit announced the operational pause beginning Thursday “in order to conserve capital while the company conducts discussions with potential funding sources and explores strategic opportunities.” Visit MarketWatch.com for more information on this news.

Commission 94

Commission Marketing Marketing 94

MarketWatch

JUNE 20, 2023

In a filing with the Securities and Exchange Commission late Tuesday, EA appointed Stuart Canfield CFO effective immediately, with Suh scheduled to depart EA on June 30. Visit MarketWatch.com for more information on this news. Separately, Visa Inc.V named Suh its new CFO.

Electronics 75

Electronics Commission Marketing Marketing 75

MarketWatch

JANUARY 31, 2023

“To our knowledge no government agency in any ongoing investigation has concluded that any wrongdoing occurred,” Tesla disclosed in its latest 10-K filing with the Securities and Exchange Commission in a section titled “Certain Investigations and Other Matters.” Visit MarketWatch.com for more information on this news.

Commission 75

Commission Government Marketing Marketing 75

MarketWatch

MARCH 7, 2023

version of the global crypto exchange Binance, can move forward with absorbing customer accounts and around $1 billion in crypto from Voyager Digital, a judge said — despite objections from the Securities and Exchange Commission, the Wall Street Journal reported on Tuesday. Visit MarketWatch.com for more information on this news.

Accounting 98

Accounting Commission Assets Marketing 98

Nerd's Eye View

MARCH 20, 2023

In part, this is due to the many commission-based advisors whose compensation depends on the sale of insurance or investment products, where the price that a client pays is baked into the price of the product or is included in (often opaque) fees associated with buying, selling, and/or holding the investment. Read More.

Communication 228

Communication Planning Financial Planning Fee Only 228

Million Dollar Round Table (MDRT)

NOVEMBER 16, 2023

It’s just information. Some advisors call this “commission breath.” Either they want the help you’re offering or they don’t. You’re too attached to the outcome When you desperately need a sale, you send out desperate and needy energy that prospects will almost always subconsciously pick up on.

Sales 88

Sales Commission Financial Advisor Insurance 88

MarketWatch

FEBRUARY 3, 2023

The Federal Trade Commission is preparing a possible antitrust lawsuit against Amazon.com Inc. , Visit MarketWatch.com for more information on this news. the Wall Street Journal reported Friday, citing people familiar with the matter. Amazon stock is down 4.4%

Commission 98

Commission Marketing Marketing 98

MarketWatch

JUNE 6, 2023

Securities and Exchange Commission on Tuesday asked a judge to grant a temporary restraining order to freeze assets tied to Binance.US. Visit MarketWatch.com for more information on this news. The agency on Monday charged Binance Holdings Inc. and its founder Changpeng Zhao with 13 securities law violations. fall under U.S.

Assets 75

Assets Commission Management Marketing 75

MarketWatch

JUNE 6, 2023

Bitcoin fell Tuesday after the Securities and Exchange Commission charged digital-asset exchange Coinbase Global Inc.COIN with operating an unregistered national securities exchange, brokerage and clearing agency. Visit MarketWatch.com for more information on this news. Bitcoin was down 1.1%

Commission 75

Commission Assets Marketing Marketing 75

MarketWatch

MAY 16, 2023

The Federal Trade Commission is suing to block biopharma giant Amgen Inc.’s Visit MarketWatch.com for more information on this news. s AMGN proposed acquisition of Horizon Therapeutics, saying the deal would allow Amgen to “entrench the monopoly positions” of Horizon treatments for serious medical conditions.

Commission 72

Commission Medical Marketing Marketing 72

MarketWatch

FEBRUARY 13, 2023

Paxos also has been told by the Securities and Exchange Commission that the agency plans to sue it, the newspaper said. Visit MarketWatch.com for more information on this news. The BUSD token was trading just below parity, according to Coinmarketcap.

Commission 75

Commission Financial Services Planning Marketing 75

MarketWatch

MARCH 13, 2023

Kosturos was provided by Alvarez & Marsal, the advisory firm that is serving as SVB’s “restructuring counsel” as it explores “strategic alternatives” for the company and its businesses, SVB said in a filing with the Securities and Exchange Commission. Visit MarketWatch.com for more information on this news. bank failure back in 2008.

Commission 75

Commission Banking Marketing Marketing 75

MarketWatch

JUNE 15, 2023

GS stock is down 0.5%, reversing gains from earlier in the session, after The Wall Street Journal reported that the Securities and Exchange Commission is investigating the role of the bank in buying Silicon Valley Bank’s securities portfolio prior to the bank’s collapse in March. Visit MarketWatch.com for more information on this news.

Banking 75

Banking Commission Sales Portfolio 75

MarketWatch

JUNE 6, 2023

The Securities and Exchange Commission charged digital-asset exchange Coinbase Global Inc. Visit MarketWatch.com for more information on this news. COIN with operating an unregistered national securities exchange, brokerage and clearing agency. Market Pulse Stories are Rapid-fire, short news bursts on stocks and markets as they move.

Commission 76

Commission Assets Marketing Marketing 76

MarketWatch

JUNE 29, 2023

The Federal Trade Commission is gearing up to launch a “far-reaching” antitrust lawsuit against Amazon.com Inc. Visit MarketWatch.com for more information on this news. AMZNwith a focus on its e-commerce business, Bloomberg News reported Thursday. Representatives from Amazon and the FTC declined to comment on the report.

Commission 75

Commission Marketing Marketing 75

WiserAdvisor

AUGUST 18, 2023

These experts have the necessary financial knowledge and expertise to help you make informed decisions about your money, investments, and future financial security. When you purchase any of these assets, the financial advisor receives a commission from the sponsoring company, which helps them earn money.

Financial Advisor 52

Financial Advisor Commission Fee Only Financial Planning 52

Nerd's Eye View

FEBRUARY 22, 2023

And although the SEC provides instructions and some guidance for RIAs in drafting their Form ADVs, the instructions allow for a wide latitude of interpretation that can make it difficult for advisers to know exactly how their firm’s information should be presented.

Commission 156

Commission Clients Investing Investments 156

MarketWatch

JUNE 21, 2023

The Securities and Exchange Commission on Wednesday charged audit firm Marcum LLP with “systemic quality control failures’ and violations of audit standards in work conducted for hundreds of special purpose acquisition corporations. Visit MarketWatch.com for more information on this news.

Commission 95

Commission Clients Marketing Marketing 95

Walkner Condon Financial Advisors

APRIL 17, 2023

In contrast, a commission-based financial advisor receives commissions or other forms of compensation from financial product providers for recommending and selling their products. This can make it difficult for investors to fully understand the potential conflicts of interest that may exist when working with a commission-based advisor.

Fee Only 52

Fee Only Financial Advisor Certified Financial Planner Commission 52

MarketWatch

JUNE 27, 2023

million shares outstanding, according to the company’s last quarterly filing with the Securities and Exchange Commission, the deal would be valued at about $4.3 Visit MarketWatch.com for more information on this news. BAM The offer is comprised of $38.85 a share in cash and $16.15 a share in Brookfield stock. AEL stock has fallen 1.1%

Commission 75

Commission Investing Investments Marketing 75

MarketWatch

APRIL 26, 2023

The company said it’s canceled the special meeting scheduled for May 9 and is withdrawing its proxy statement filed with the Securities and Exchange Commission on April 5. Visit MarketWatch.com for more information on this news. The stock tumbled 36% Wednesday to 13 cents.

Commission 75

Commission Retail Marketing Marketing 75

Walkner Condon Financial Advisors

APRIL 21, 2023

In contrast, a commission-based financial advisor receives commissions or other forms of compensation from financial product providers for recommending and selling their products. This can make it difficult for investors to fully understand the potential conflicts of interest that may exist when working with a commission-based advisor.

Certified Financial Planner 52

Certified Financial Planner Financial Advisor Fee Only Financial Planner 52