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Tax law’s pass-through provision could harm 401(k) plans
Law creates a differential in tax rates that may lead business owners to shy away from sponsoring a retirement plan, or water down existing benefits.
Massive investment fraud fueled by slick marketing, hot dinners
When advisers make the claim that an investment product has no risk and is crash proof, it is a clear, almost blazing red flag that the investment is a potential fraud.
State regulators warn investors about cryptocurrency dangers
Securities and Exchange Commission members also reiterate their concerns about virtual money.
States already seeking workarounds to Republican tax changes
New York Gov. Cuomo promises to sue federal government, make changes in state tax code.
Finra has made genuine efforts to improve
As the regulator becomes more transparent, it may also become more fair on arbitration and enforcement.
House GOP seeks to preserve spending rider to kill DOL fiduciary rule
Fiduciary advocates hope Democrats will continue to hold the line against the provision
New tax law favors charitable giving from IRAs
Jamie Hopkins, associate professor of taxation at the American College of Financial Services, offers guidance.
Allianz agrees to settle 401(k) fee lawsuit for $12 million
Other companies, including TIAA and New York Life, settled self-dealing suits for millions of dollars in 2017.
Time for SEC to take fiduciary baton from DOL
The SEC likely will adopt the DOL's definition of fiduciary, and put a rule in place by the end of 2019.
What to expect on the regulatory front in 2018
Senior reporter Mark Schoeff Jr. speaks with Investment Adviser Association CEO Karen Barr about what's to come now that the SEC has a full commission, including how the agency might proceed on its fiduciary rule.
The biggest losers and winners of 2017
Independent advisers and investment clients fared much better than the DOL rule and robo platforms.
Roth IRAs hit 20 years old on New Year’s Day
The tax-advantaged retirement vehicle has grown in popularity among advisers and clients, despite obstacles.
Rep fired by NY Life barred from industry for failing to show up at Finra hearing
Tyrone Pang was terminated for accepting a customer's check made payable to himself for an insurance premium payment.
Tax bill may change your clients’ health-care costs
Pay attention to new rules for the "individual mandate" requirement and the medical expense deduction floor.
Fake comments hit regulators seeking input on proposed rules
Fraudulent posts criticize the DOL fiduciary rule, and other groups overseeing advisers are similarly vulnerable.
Assets in fiduciary accounts grow to 42% of total
Cerulli says 'concern for fiduciary alignment' will color product selection.
Citigroup must pay $11.5 million over garbled stock ratings
Finra says the bank's ratings system was riddled with errors and cost clients money.
Ask the Ethicist: Help the CFP Board improve its revised standards
The proposal is a worthy effort that needs tweaking, so weigh in during the Jan. 2 to Feb. 2 comment period.
Your tax bill questions answered
Leon LaBrecque, managing partner at LJPR Financial Advisors, offers guidance on Washington's major overhaul.
Tax bill prompts client questions on prepaying property taxes before 2018
Advisers say to accelerate deductions, if the client's county allows prepayment and the client can afford it.