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Trump, House tax chief send mixed signals on 401(k) tax break

October 25, 2017

President Donald J. Trump repeated his desire to keep tax breaks for workers' 401(k) contributions Wednesday — just hours after the chief tax writer in the House said his panel was exploring ways to change retirement savings in legislation...

Wedbush Securities, once again, in trouble with regulators

October 25, 2017

From time to time, this column focuses on firms and individuals in the investment advice business who continue to screw up — those who seem destined to repeat the past and harm investors, damage their own reputations or both. It can be maddening....

Clayton says SEC can't simply take over DOL fiduciary rule

October 24, 2017

Industry opponents of the Labor Department's fiduciary rule want the Securities and Exchange Commission to swoop in and take over rulemaking on investment advice standards, but the agency can't simply stop the DOL regulation, SEC Chairman Jay...

SEC nominees Jackson and Peirce blast Finra's transparency during hearing

October 24, 2017

Two nominees for the Securities and Exchange Commission questioned Finra's transparency during a confirmation hearing on Tuesday morning, saying the brokerage regulator hasn't been doing enough in this area and that its conduct should be reviewed....

401(k) advisers under pressure to keep up with due diligence of investment products

October 24, 2017

Regulation and market forces are driving rapid evolution of investment products. Costs are coming down, conflicts are coming under closer scrutiny, and competitive pressures – along with shifting investor objectives – are reshaping new product...

Trump rejects idea of new caps on 401(k) savings in tax plan

October 23, 2017

President Donald J. Trump said there will not be changes to tax-deferred retirement savings plans under his proposed tax plan, shooting down reports that House Republicans were considering tweaking or capping one of the most popular breaks....

Finra's fine money whets appetites of investor advocates, experts, industry representatives

October 23, 2017

The $176.3 million in total fines Finra levied last year has mouths watering like a succulent burger coming off the grill. Investor advocates, members of Congress, scholars and industry representatives all want to take a bite. In the last couple...

PIABA selects Andrew Stoltmann as new president

October 23, 2017

Chicago attorney Andrew Stoltmann has been selected as president of the Public Investors Arbitration Bar Association, replacing outgoing Ohio attorney Marnie Lambert. PIABA is a not-for-profit, voluntary bar association of lawyers who represent...

T. Rowe Price's Rob Sharps talks about investing for growth

October 21, 2017

Rob Sharps is T. Rowe Price's group chief investment officer. He ran the T. Rowe Price Institutional Large Cap Growth Fund (TRLGX) from December 2002 to March 2017. InvestmentNews spoke to Mr. Sharps about the stock market, energy and investing...

Finra rule would let investors take arb claims to court if broker goes bankrupt during proceeding

October 19, 2017

Finra is seeking to allow investors in arbitration to take their claim to court if the brokerage or broker involved goes out of business during the proceedings. The regulator claims it will help plaintiffs collect their awards but a critic asserts...

Massachusetts charges adviser with venture-capital fraud

October 19, 2017

State securities regulators in Massachusetts have charged a Waltham-based investment adviser and his firm, Moser Capital Management, with engaging in fraudulent conduct and breaching their fiduciary duties. In its complaint, Massachusetts alleges...

Shift to Roth 401(k)s 'highly likely' part of tax reform: former Treasury official Mark Iwry

October 19, 2017

Optimism from past weeks regarding the fate of 401(k) tax benefits under tax reform is beginning to wane, with some signaling that employees would have to pay taxes upfront on at least a portion of their retirement savings. Mark Iwry, a non-resident...

Morgan Stanley sees slower fee-based asset flows on fiduciary rule delay

October 17, 2017

Morgan Stanley Wealth Management continues to see assets surge into fee-based accounts, but that flow began slowing noticeably in the third quarter, following more certainty of a delay in the implementation of major parts of the Department of...

Brokers support Finra ranking of reps to identify bad apples as long as list stays private

October 17, 2017

Brokers and securities compliance experts support Finra's effort to rank registered representatives and target those it believes pose the biggest threat to investors — as long as the broker-dealer regulator keeps the list to itself. Susan...

Finra ranking brokers in effort to crack down on industry's bad apples

October 16, 2017

As part of its crackdown on rogue brokers, the Financial Industry Regulatory Authority Inc. has ranked all 634,403 registered reps it regulates and is targeting those who it believes pose the biggest threat to investors, a Finra executive said...

Lawsuit filed against first state auto-IRA program

October 13, 2017

The ERISA Industry Committee in Washington is seeking an injunction against new reporting requirements from the Oregon Retirement Savings Board in a complaint filed in U.S. District Court in Salem, Ore. The national association advocating for...

Tax reform threatens a powerful client relationship tool

October 13, 2017

This won't be your father's tax reform process – and it may not be the one your business needs either. That's because it might take away investment advisers' number one secret weapon for building strong relationships with their clients –...

Trump nominates Senate aide for post overseeing DOL fiduciary rule

October 13, 2017

A senior Senate aide has been tapped to head the Labor Department's office with direct authority over the agency's fiduciary rule. The White House announced Thursday night that Preston Rutledge, senior tax and benefits counsel on the Senate...

CFP Board publicly rebukes Camardas over use of 'fee-only' description

October 13, 2017

The Certified Financial Planner Board of Standards Inc. admonished two Florida planners for using a misleading description of their compensation, citing the 2013 incident that led to a court case that the organization won. In its latest announcement...

Retirement planning challenges under tax reform

October 13, 2017

During retirement, clients may be counting on certain deductions to reduce their taxable income, but under the latest tax proposal some of the biggest deductions are on the chopping block. Advisers will have to address what might happen, before...

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