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Ask the Ethicist: Help the CFP Board improve its revised standards

December 27, 2017

On Dec. 20, the CFP Board released the second draft of its proposed revisions to the Standards of Professional Conduct. The first draft was released during the summer with a 60-day comment period. This latest version is open to comment from...

J.P. Morgan fined $2.8 million for clearing errors

December 27, 2017

The Financial Industry Regulatory Authority has censured J.P. Morgan Securities and fined it $2.8 million over errors in its clearing operation, stemming from systems inherited from Bear Stearns. Finra said that from March 2008, when J.P. Morgan...

Your tax bill questions answered

December 27, 2017

InvestmentNews has asked readers to submit their tax questions. Here are the first three of them. If you would like your tax questions answered, please write to assistant managing editor Chris Latham at QUESTION:...

New York State proposes 'best interest' standard for life insurance and annuities

December 27, 2017

New York State's top financial watchdog proposed regulations that would require sellers of life insurance and annuities to act in the best interest of clients, raising standards even as the U.S. government delays its fiduciary rule. Products...

William Galvin fines Securities America over radio ads

December 27, 2017

Massachusetts' securities regulator has fined Securities America $125,000 in connection with failure to supervise one of its agents whose radio advertising campaign allegedly used the dangers of Alzheimer's disease to gain access to seniors'...

CFP Board touts revised standards in $80,000 Wall St. Journal ad

December 22, 2017

The Certified Financial Planner Board of Standards Inc. is spending nearly $80,000 to take out a full-page ad in the Wall Street Journal Friday to tout its revised advice standards. The new rules would require all CFPs, including brokers who...

New DOL, SEC officials help advance fiduciary rule work

December 22, 2017

Three new officials — one at the Labor Department and two at the Securities and Exchange Commission — will help the agencies advance their work on investment advice standards. Before leaving Washington for its holiday break on Thursday,...

Merrill Lynch fined $26 million over suspicious transactions

December 22, 2017

The Securities and Exchange Commission and the Financial Industry Regulatory Authority have censured Merrill Lynch and slapped it with penalties totaling $26 million over its anti-money-laundering policies and procedures. The SEC and Finra,...

Trump signs $1.5 trillion tax cut

December 22, 2017

President Donald J. Trump signed the Republican tax-overhaul bill to little fanfare on Friday, delivering a major tax cut to U.S. corporations along with a package of temporary cuts for other businesses and most individuals. "We are cutting...

Send us your tax questions

December 21, 2017

Confused about the new tax bill? InvestmentNews wants to help. Send us your questions, and we'll ask experts to weigh in and then publish the answers. You may direct your queries to reporter Greg Iacurci at and assistant...

Finra fines Raymond James $2 million over emails

December 21, 2017

The Financial Industry Regulatory Authority Inc. has fined Raymond James Financial Services $2 million for failing to have in place adequate email supervisory systems as well as procedures for reviewing emails. Finra found that during a nine-year...

Silver lining in BDC fundraising figures

December 21, 2017

The figures are in and they're miserable. During the first three quarters of this year, BDCs raised just $624 million ($832 million annualized) versus $1.5 billion last year. Worse, capital formation is off from the 2014 peak of $5.5 billion,...

Finra advances proposals to clarify outside business activities, churning rules

December 21, 2017

An upcoming Finra rule proposal would make it easier for brokerages to determine whether their representatives are engaging in harmful activities away from the office. At its meeting last week, the board of the Financial Industry Regulatory...

CFP Board modifies details of revised standards but maintains strengthened fiduciary duty

December 20, 2017

The Certified Financial Planner Board of Standards Inc. released today a second round of revisions to its code of ethics and standards of conduct. It maintains higher advice standards for the credential but eases some disclosure requirements...

Two more bitcoin ETFs test luck with SEC

December 20, 2017

Another two bitcoin ETFs are gunning to win the approval of a regulator that's so far been skeptical of derivatives based on digital currency. Cboe Global Markets Inc. asked the U.S. Securities and Exchange Commission for permission to list...

Finra will publish budget for first time in 2018

December 20, 2017

Finra will publish its 2018 budget early next year, marking the first time that the broker-dealer self-regulator has made the document public, the organization announced on Wednesday. The Financial Industry Regulatory Authority board approved...

LPL loses $462,000 arbitration claim stemming from broker who ran Ponzi scheme

December 20, 2017

LPL Financial lost a $462,000 arbitration claim on Tuesday involving a former broker who is in jail for running a Ponzi scheme. A three-person Finra Dispute Resolution panel ruled that LPL was liable to pay three sets of clients $332,000 in...

Former State Farm rep barred by Finra

December 20, 2017

The Financial Industry Regulatory Authority has barred former State Farm representative Kim D. Le for refusing to appear before a Finra panel investigating allegations that she failed to disclose outside business activities. Ms. Le was registered...

Congress sends Trump tax-cut bill

December 20, 2017

House Republicans passed the most extensive rewrite of the U.S. tax code in more than 30 years -- hours after the Senate passed the legislation -- handing President Donald Trump his first major legislative victory. The chamber's 224-201 party...

Political ETFs have fair share of haters

December 20, 2017

Money managers have already tried to sell people exchange-traded funds linked to booze and over-eating. So it probably shouldn't come as a shock that they're moving on to an even touchier region of the American psyche — politics. Believe it...

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