JD Supra

IRS Issues Helpful Guidance for Retirement Plans Under the CARES Act

As described in our earlier article, under section 2202 of the CARES Act, qualified individuals receive favorable tax treatment for distributions from eligible retirement plans that are ...
The Motley Fool

Central Registration Depository (CRD): Definition and How It Works

CRD maintains securities professionals' records, aiding public research through BrokerCheck. BrokerCheck offers detailed profiles of finance professionals' background and conduct. CRD supports ...
JD Supra

EBA Consults on Revised Guidelines on Internal Governance Under CRD VI

The European Banking Authority (EBA) launched a consultation on proposed revisions to its guidelines on internal governance under the Capital Requirements Directive (CRD). The revisions form part of ...
Financial Planning

How to handle this quirk in FINRA’s recordkeeping system

Q: Over six months ago, I left my brokerage firm. After I left, an arbitration claim was filed against me and the firm, and we’ve now settled that case for an amount in excess of $15,000. My new ...