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Time for RIAs to set transition plans as SEC steps up focus

March 6, 2015

Mary Jo White, chairwoman of the Securities and Exchange Commission, recently discussed potential regulatory reforms that would lay the foundation for regulating the risks arising from portfolio composition and operations of investment advisers...

The new world for oil is a manageable $65 a barrel

March 6, 2015

It's a whole new paradigm for oil, and it doesn't include prices hovering around $100 a barrel. But it doesn't include $50 oil, either. The future looks more like $65 to $70 a barrel A worthwhile read on the ongoing evolution of the 401(k) industry...

Advisers like Rubio tax plan's simplicity, but shudder at details

March 6, 2015

Investment advisers like the idea of streamlining the tax code, but they worry about the details of the plan put forward earlier this week by potential presidential candidate Sen. Mark Rubio, R-Fla., and Sen. Mike Lee, R-Utah. The senators introduced...

Rubio-Lee tax plan eliminates deductions and ties large, small business rates

March 4, 2015

A tax reform proposal floated Wednesday by two senators, including one who may run for president, would eliminate almost all special tax breaks while ensuring that large and small businesses pay the same tax rate. Sen. Marco Rubio, R-Fla., and...

Senator questions widespread tax dodges used by wealthy

March 3, 2015

The top Democrat on the Senate tax-writing committee called Tuesday for curbing complex investment tactics that help high-net-worth investors lower their taxes. A report released by the Democratic staff of the Senate Finance Committee outlined...

BlackRock's iShares avoids trip to the Supreme Court

March 3, 2015

The U.S. Supreme Court has declined to intervene in a lawsuit against BlackRock Inc. by investors who said the company keeps too much of what it makes from lending securities held by its iShares ETFs. The court's decision Monday, which came...

Why all investment advisers should join forces to promote the profession

March 1, 2015

Having walked out the door of the Investment Adviser Association last month, I have two parting words for all investment advisory professionals: Get involved! If I have learned one thing during the past 18 years working at IAA, it's that the...

The loudest shouldn't speak for everyone

March 1, 2015

The national spotlight was on financial advisers last week, as it almost never is, when President Barack Obama announced he was backing a fiduciary standard for brokers handling retirement accounts. The industry is made up of many voices but...

Obama's proposed budget lets unemployed workers drain their retirement savings

February 27, 2015

If 26 weeks' worth of unemployment benefits aren't enough to get you back on your feet, why not tap into your retirement savings? Sad as this logic might sound, it is the safety net that President Barack Obama is proposing as part of his 2016...

SEC limits who qualifies as a public arbitrator

February 27, 2015

The Securities and Exchange Commission has approved a Finra proposal that would restrict more individuals in securities disputes from serving as public arbitrators, including lawyers who represent plaintiffs. Under the rule, anyone who has worked...

No charitable IRA rollover, no problem. Consider the charitable alt-IRA

February 27, 2015

Part 1 of our series described the substantial benefits and limits of charitable IRA rollovers. Perhaps the biggest limit is the fact that the law permitting charitable IRA rollovers is frequently in limbo — it was in effect only two weeks...

Morgan Stanley settles mortgage bond probe for $2.6 billion

February 26, 2015

Morgan Stanley's mortgage bond history results in a $2.6 billion settlement. The math hits shareholders to the tune of $1.35 per share Warren Buffet's Berkshire Hathaway empire is being described by analysts as one of the murkiest around. Transparency...

House approves bill easing 529 plan rules

February 26, 2015

Seeming to rebuke President Barack Obama's retracted plan to tax college savings accounts, the Republican-led House of Representatives approved legislation Wednesday that would expand the way people can use money from Section 529 plans. The...

Senior Republican on Senate Banking Committee presses Finra on CARDS

February 25, 2015

A senior Republican on the Senate Banking Committee has added his voice to the chorus of those unhappy with Finra's controversial plan for a brokerage data-collection system, claiming it could jeopardize investor privacy and be used for government...

Ex-UBS broker claims 'inhospitable work environment'

February 25, 2015

A former UBS Wealth Management Americas broker has asked a federal court judge to overturn a Finra arbitration award ordering him to repay more than $300,000 in bonus money, claiming he could no longer work there because of the way UBS marketed...

Inflated postage charges to clients continues to dog IBD

February 25, 2015

Mid-sized independent broker-dealer Newbridge Securities Corp. recently agreed to pay $850,000 to settle a class action suit that alleged price gouging by the firm over what it charged clients for postage and handling of their securities transactions....

Republican introduces bill to halt Obama's DOL fiduciary push

February 25, 2015

Two days after President Barack Obama gave substantial momentum to a pending Department of Labor rule that would raise investment advice standards for retirement accounts, a House lawmaker is trying to stop the regulation. On Wednesday, Rep....

Why Obama is 'proud' of this adviser

February 24, 2015

President Barack Obama singled out Sheryl Garrett as an adviser who puts clients' interests first in his speech Monday that backed tougher investment-advice standards for brokers who handle retirement plans. “I want to emphasize once again,...

With Obama's push, is fiduciary a done deal? Not so fast

February 24, 2015

President Barack Obama has elevated to the bully pulpit a proposal that would raise investment advice standards for brokers working with retirement accounts, but presidential attention may not get a final rule over the finish line by the end...

Labor Department rankles advisers with quick video on fiduciary

February 24, 2015

Financial advisers have been thrust into the national spotlight after President Barack Obama directed the Department of Labor to move forward a fiduciary standard rule. To accompany the president's announcement at AARP in Washington on Monday...

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