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Tax overhaul gift may turn into lump of coal sooner than later

January 6, 2018

The so-called Christmas gift given to the country by President Donald J. Trump and his Republican colleagues — the tax reform law — might be enjoyable in the short run, but it could prove to be nothing more than a lump of coal to many Americans...

Commercial sales rules threaten to redefine fiduciary advice

January 6, 2018

Securities & Exchange Commission Chairman Jay Clayton says that a uniform standard of conduct for broker-dealers and investment advisers providing advice to retail clients is on the commission's front burner. Some sources say a proposed rule...

Finra fines Meyers Associates $700,000 over sales literature

January 5, 2018

The Financial Industry Regulatory Authority Inc. has fined New York-based Meyers Associates $700,000 and barred its principal, Bruce Meyers, from serving as a principal of a firm or as a supervisor. Violations included having sent misleading...

Massive investment fraud fueled by slick marketing, hot dinners

January 5, 2018

For almost five years, the SEC said the Woodbridge Group of Companies operated a billion-dollar Ponzi scheme, taking advantage of 8,400 investors, many of them elderly. What is striking about the alleged fraud is that it operated in plain sight....

Tax law's pass-through provision could harm 401(k) plans

January 5, 2018

The new tax law's provision on pass-through businesses is proving to be one of the most challenging to dissect, and it's one that some retirement pundits are eyeing with concern. Some industry groups, such as the American Retirement Association,...

State regulators warn investors about cryptocurrency dangers

January 4, 2018

State securities regulators warned investors Thursday to be careful when putting their real money into virtual money. The North American Securities Administrators Association released a statement outlining the weaknesses of cryptocurrencies,...

States already seeking workarounds to Republican tax changes

January 4, 2018

Before the ink was dry on the Republican tax bill signed into law late last month, experts predicted that state governments would try to shield their residents from tax hikes they'll suffer from a sharp reduction in state and local deductions....

House GOP seeks to preserve spending rider to kill DOL fiduciary rule

January 3, 2018

House Republicans will seek to preserve a provision of the chamber's spending bill that would kill the Labor Department's fiduciary rule as they negotiate a measure to fund the government. Republican and Democratic House and Senate leaders were...

New tax law favors charitable giving from IRAs

January 3, 2018

InvestmentNews has asked readers to submit their tax questions. Here are three new submissions. If you would like your tax questions answered, please write to assistant managing editor Chris Latham at clatham@investmentnews.com and reporter...

Finra has made genuine efforts to improve

January 3, 2018

The past year was a time of significant change not only for our industry, but for our regulators, as well. In particular, Finra — where Robert Cook took over as CEO in 2016 — made a concerted effort to adapt to the shifting financial services...

The biggest losers and winners of 2017

January 2, 2018

Politics and the presidency have seldom played a more dominant role in our popular culture as they did last year. Despite the wall to wall coverage of the White House, 2017 turned out to be a far calmer and less disruptive year in the financial...

Time for SEC to take fiduciary baton from DOL

January 2, 2018

With the core of the DOL fiduciary rule in place and the rest of it delayed for 18 months, can advisers expect all to be quiet on the fiduciary front in 2018? In a word, no. The regulatory baton has been passed from the DOL to the SEC and it's...

Rep fired by NY Life barred from industry for failing to show up at Finra hearing

December 29, 2017

The Financial Industry Regulatory Authority Inc. has barred former NY Life Securities representative Tyrone Pang for failing to appear at a hearing investigating alleged rule violations. In June 2015, NY Life terminated Mr. Pang's employment...

Tax bill may change your clients' health-care costs

December 29, 2017

The newly signed Tax Cuts and Jobs Act will affect how much your clients pay out of pocket on health care, in several ways. The effects will be both short term and medium term: • The "Individual Mandate" will be eliminated by Jan. 1, 2019....

Roth IRAs hit 20 years old on New Year's Day

December 29, 2017

The first day of 2018 will have special meaning for some retirement planners — the 20th anniversary of the Roth IRA. The plans, which allow individuals to contribute after-tax money into an account that they can withdraw from tax-free in retirement,...

Fake comments hit regulators seeking input on proposed rules

December 28, 2017

Several public comments collected by the Department of Labor that criticize the proposed fiduciary rule are fake, according to an analysis by the Wall Street Journal and Mercury Analytics. Of more than 3,000 comments, WSJ surveyed 345 people,...

Assets in fiduciary accounts grow to 42% of total

December 28, 2017

Regardless of how regulators resolve the fiduciary issue, more client assets than ever are being held to a fiduciary standard, according to a report by Cerulli Associates. Almost $18 billion — or 42% of total client assets — were held in...

Citigroup must pay $11.5 million over garbled stock ratings

December 28, 2017

The Financial Industry Regulatory Authority fined and sanctioned Citigroup Global Markets $11.5 million on Thursday for displaying inaccurate research ratings for more than 1,800 public companies from 2011 to 2015 and for related supervisory...

Tax bill prompts client questions on prepaying property taxes before 2018

December 27, 2017

The Republican tax bill has gifted many financial advisers with a lot of additional work in the last few days of 2017. Advisers say they are getting peppered with questions from clients about prepaying property taxes before Jan. 1, when the...

Finra bars ex-Merrill broker alleged to have borrowed money from clients

December 27, 2017

The Financial Industry Regulatory Authority Inc. has barred former Merrill Lynch broker John James for not appearing at a hearing looking into alleged activities that included borrowing money from clients. On March 24, 2016, Merrill Lynch filed...

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