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Tuesday, November 23, 2021
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Learning From the CFP Board’s Latest Sanctions
In one case, the Disciplinary and Ethics Commission imposed a sanction after determining that an advisory professional did not timely file his federal taxes between 2013 and 2018, resulting in the IRS filing tax liens totaling $172,000, with accrued interest and penalties.
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SEC Proposes Increase in Transparency in the Securities-Lending Market
The rule would require the reporting of certain material terms of those loans to a registered national securities association, which would then make information available to the public.
Today’s Most Read
1. Ascensus to Acquire Vanguard’s Individual 401(k) Business
2. Victory to Acquire Amundi’s $104B U.S. Division
3. Small Plan Growing Pains
Sponsored by Parametric
Too Much of a Good Thing: Unwinding a Concentrated Stock Position
Amassing a large exposure to a single stock may not elicit much concern from an investor. After all, many investors find themselves holding large, concentrated stock positions resulting from…
NFP’s Wealthspire Acquires Private Ocean
Wealthspire’s leadership calls the acquisition “a significant opportunity to plant a flag on the West Coast and demonstrate our growing national scope.”
Balancing Employee Retention and Recruiting During the Labor Crunch
Many companies are focused on attracting talent to prepare for the post-COVID-19 economy, but there is also an urgency to address the needs of their older workers and those desiring a smooth transition out of the workforce.
Employees Favor Retirement Plans That Substitute Annuities for Bonds
A survey also found nearly half of employees prefer to have a mix of investments and lifetime income over either traditional pensions or investments alone.
Market Mirror Market Mirror Graph

Yesterday, the Dow was up 17.27 points (0.05%) at 35,619.25, the Nasdaq fell 202.68 points (1.26%) to 15,854.76, and the S&P 500 decreased 15.02 points (0.32%) to 4,682.94. The Russell 2000 closed 11.81 points (0.50%) lower at 2,331.35, and the Wilshire 5000 lost 291.16 points (0.60%) to finish at 48,302.44.

The price of the 10-year Treasury note decreased 29/32, bringing its yield up to 1.631%. The price of the 30-year Treasury bond fell 1 25/32, increasing its yield to 1.973%.
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