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House committee approves Dodd-Frank replacement bill that includes repeal of DOL fiduciary rule

May 4, 2017

A replacement for much of the Dodd-Frank Wall Street Reform and Consumer Protection Act was passed by the House Financial Services Committee on Thursday. The vote was 34-26 along party lines, and came after three days of considering amendments...

Donald J. Trump's first 100 days: the highs and lows

April 30, 2017

Despite what President Donald J. Trump says, the first 100 days of an administration are important. That's when a new president makes clear their priorities, proclivities and, perhaps most importantly, their character. Mr. Trump is no exception,...

The SEC would have to jump through hoops to get approval for its own fiduciary rule

April 28, 2017

Republican lawmakers and financial industry opponents of the Labor Department's fiduciary rule repeatedly say — almost like a mantra — that the Securities and Exchange Commission is the place where such a regulation should originate. The...

Trump tax proposal leaves advisers in the dark on estate tax repeal

April 27, 2017

The broad-brush tax proposal released Wednesday by President Donald J. Trump repeated his campaign pledge to repeal the estate tax, but failed to provide financial advisers with any additional detail regarding its form. That leaves advisers...

Donald J. Trump's first 100 days

April 27, 2017

Did you vote for Donald J. Trump for president in November 2016? If so, would you vote for President Trump again based on his time in office so far? Do you approve or disapprove of the way Mr. Trump has handled the job as president so far? *InvestmentNews...

Trump's first 100 days a disappointment to financial advisers

April 27, 2017

Financial advisers don't like what they see so far from President Donald J. Trump. As Mr. Trump completes his first 100 days in office on Saturday, more than half — 51.6% — of advisers in an InvestmentNews survey said they disapprove of...

What advisers should know about the Trump tax proposal

April 26, 2017

Businesses, the wealthy and average taxpayers are likely to have more money in their pockets under President Donald J. Trump's tax proposal, financial advisers anticipate. A list of goals for the tax overhaul, unveiled Wednesday by Mr. Trump's...

Retirement savings still a potential target in tax reform negotiations

April 26, 2017

The Trump administration intends to leave retirement savings untouched as part of its new tax proposal, but some remain concerned employer-sponsored plans won't survive the tax-reform process unscathed. "We're pleased with the framework that...

Financial Planning Coalition opposes spending bill riders that would kill DOL fiduciary rule

April 25, 2017

The Financial Planning Coalition — a lobbying group comprising the Certified Financial Planner Board of Standards Inc., the Financial Planning Association and the National Association of Personal Financial Advisors — has called on members...

William Galvin blasts House Financial CHOICE Act

April 25, 2017

In a letter to members of the House Financial Services Committee, the chief securities regulator for Massachusetts warned that the House Financial CHOICE Act of 2017 would "leave their own constituents at the risk of fraud and financial abuse."...

Ric Edelman proposes Social Security fix: Allot $7,000 for each baby

April 19, 2017

A prominent financial adviser is proposing to fix the Social Security system by using the same approach that he recommends to clients: Start saving early and take advantage of compound growth. Ric Edelman, executive chairman of Edelman Financial...

President Trump signs resolution to effectively kill city auto-IRA rule

April 13, 2017

President Donald J. Trump on Thursday signed into law a resolution that nullifies Obama-era retirement rules meant to encourage cities and other municipalities to develop auto-IRA programs for private-sector workers. The resolution, H.J. Res....

Why the Senate should overturn state retirement rules

April 11, 2017

Why are state governments implementing mandatory retirement plans? The answer is simple: Some Americans are not saving for retirement and an auto-enrollment IRA program could increase the retirement savings rate. The tougher question: Why are...

Senate, House introduce bills mandating lifetime income disclosures for 401(k) plans

April 6, 2017

Bipartisan legislation was introduced today in the Senate and House of Representatives that would require employers to provide 401(k) participants with a projection of monthly income at retirement, based on their current account balance. Johnny...

Senate bill aims for higher SEC enforcement penalties

March 30, 2017

The Securities and Exchange Commission could substantially increase enforcement sanctions under bipartisan legislation introduced on Thursday. The bill would allow the SEC to impose a maximum $1 million penalty on individuals per violation for...

Senate votes to kill city auto-IRA rules

March 30, 2017

The Senate voted Thursday to kill Obama-era retirement rules meant to promote the creation of so-called auto-IRAs for municipalities such as cities and counties. The chamber voted 50-49 in favor of a resolution of disapproval, H.J. Res 67, to...

Pooled employer plans set to dominate small 401(k) market

March 29, 2017

Market forces are in place for the so-called pooled employer plan (PEP for short) to proliferate, and legislation with bipartisan support is lined up to make them a reality. So what's driving the move to PEPs, a type of open multiple employer...

SEC chairman nominee Clayton not asked about key adviser issues, reveals no specific plans

March 23, 2017

After two hours and twenty-five minutes of testimony before the Senate Banking Committee on Thursday, President Donald J. Trump's nominee to chair the Securities and Exchange Commission, Jay Clayton, remains a blank slate on issues affecting...

Bipartisan bill seeks to ease hurdle for small-business retirement plans

March 22, 2017

In a rare display of bipartisan cooperation, Republican and Democratic senators and representatives have introduced a bill that would make it easier for small businesses to offer retirement plans to their employees. "For smaller employers, offering...

Faltering congressional support for auto-IRAs leaves legislation up to states

March 19, 2017

Our private pension system has accomplished a great deal. Employer-sponsored plans provide meaningful benefits to tens of millions of middle-income working families, supplementing Social Security, and have accumulated the largest pool of investment...

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