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DOL rule requires lifetime income estimates on retirement plan statements
The regulation would implement a SECURE Act provision intended to help savers assess their nest eggs
Watch that RMD deadline, and other advice from the Retirement Income Summit
Despite the relief provided by the CARES Act, people are more worried about retirement than ever, and their concept of it is changing, panelists said
Democrats oppose DOL investment advice rules as convention begins
Vice presidential pick Kamala Harris signed a comment letter seeking withdrawal of the measure in August
SEC orders firm to pay for share-class disclosure failures
Fresno, California-based SCF Investment Advisors took 12b-1 fees from mutual funds and revenue sharing from money market funds
No plan to end payroll tax permanently, White House says
Trump has suggested getting rid of the taxes several times recently, a move that threatens the solvency of Social Security and Medicare
McKinsey settles 401(k) suit for $39.5 million
Huntington Bancshares also settles a retirement plan lawsuit, while American Airlines sees a surprise win
Advisers frustrated with Washington stalemate over pandemic relief
They urge getting money into the hands of Americans to boost consumer spending
SEC highlights compliance risks amplified by pandemic
The regulator wants firms to beef up supervision of remote workers and increase controls on fees and expenses
Merrill puts trainees’ sales efforts on hold
Calls by adviser newbies were violating compliance rules, report says
SEC charges head of defunct California RIA with fraud
The agency says Brendan Ross manipulated data to show higher fund returns
SEC updates info for dually registered advisers on Reg BI
New frequently asked questions tackle account decisions and the use of titles
Former LPL rep fined $5,000 over false signatures
John McConkie signed documents for his supervisor
Trump keeps $1.2 trillion of student-loan debt on ice
The measure would postpone both repayments and the accumulation of interest through year-end on loans held by the federal government
Trump says he’s considering capital gains tax cut
The president could issue an executive order that indexes capital gains to inflation, which would cut investors' tax bills
Interactive Brokers fined $38 million for lapsed money laundering oversight
Finra, along with two other regulators, levied fines against the broker-dealer for widespread system failures
Wendy Lanton, Jim Nagengast elected Finra governors
Lanton represents small firms; Nagengast reelected to represent large firms
IRS gives businesses a break for donations related to SALT cap
Businesses that donate to charities in exchange for a state tax credit can deduct those costs from their federal taxes, according to new regulation
Trump’s payroll tax deferral raises red flags on Social Security
The president is relying on an expansive and controversial reading of executive power that likely will face legal challenges
Pass it along
Wealth transfer isn’t just for the well-heeled anymore as business owners and families of wide-ranging income levels embrace the latest strategies to keep intergenerational assets in the family — and out of the hands of the IRS
SEC penalizes two RIAs $1 million over order flow payments
New Jersey-based WBI Investments and Millington Securities allegedly made misleading statements
