Wealth Management Daily Memo

JULY 19, 2021

SEC: UBS To Pay $8M For ETP Compliance Lapses

Patrick Donachie

The penalty over advisors' use of the iPath S&P 500 VIX Short-Term Futures ETN marks the second settlement to result from the SEC's ETP Initiative.

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Alternative Investments

Eight Ways 1031 Exchange Changes Could Make Economic Waves

Mark Hamilton

This policy needs to be evaluated from multiple facets, instead of treating it like a simple line-item budgetary issue.

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Market Optimism: What Clients Need to Know

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Market concerns you need to discuss with clients to get ahead.

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Industry

Robinhood Sets Sights on a $35B Valuation in Its IPO

Crystal Tse, Annie Massa and Katie Roof (Bloomberg)

The free trading app is under scrutiny as it advances toward a debut likely to draw in buyers from its own novice investor base.

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