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Advisors could soon offer clients access to opportunity zone funds, a hot new investment.

An RIA — with a CEO who also served as chief compliance officer — failed to detect a co-founder’s seven-year-long alleged theft until he had taken $6 million from his firm, partly by overbilling clients, according to the SEC.

In 2017, Nevada codified the internal affairs doctrine by enacting NRS 78.012.

Private equity firms TPG Capital and Apollo Global Management have sold their remaining stake in Caesars Entertainment Corp., exiting an 11-year investment that turned sour almost immediately.

Thursday, the House Financial Services Committee will convene a hearing to review the Consumer Financial Protection Bureau (CFPB). They have a difficult task in front of them.

Caesars Entertainment Corp. may not be able to stop Carl Icahn from grabbing significant board influence as the casino operator transitions to new corporate governance rules.

The Nevada State securities division released its draft regulations for a fiduciary standard for broker/dealers and registered representatives late last week, and many fiduciary advocates say it’s a higher bar then the Securities and Exchange Commission’s Regulation Best Interest (Reg BI). But one thing the proposal has in common with Reg BI is that it does not define "best interest."

For inexperienced investors, trading in the stock markets could be more like gambling than investing. And with commission-free trading apps within reach of more retail investors than ever, that issue of risk is coming into sharper focus.