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Busting DOL fiduciary rule myths of industry opponents

January 12, 2018

According to the opponents of a new rule designed to ensure that retirement savers get the best advice possible, the entrepreneurial mindset and innovative spirit that has powered the U.S. economy for decades is a thing of the past. They think...

Fiduciary groups urge SEC to prevent brokers from using 'adviser' title

January 12, 2018

Fiduciary advocates are urging the Securities and Exchange Commission to prohibit brokers from calling themselves "financial advisers," as the agency considers a regulation that would raise investment advice standards. One of the biggest sources...

Bill requiring fiduciary disclosure reintroduced in New Jersey

January 11, 2018

New Jersey state lawmakers introduced legislation this week that would require financial advisers to disclose their fiduciary status to investors. Under the measure, advisers who do not have to meet a fiduciary standard must tell clients in...

CapitalRock expands its fiduciary analyzer

January 10, 2018

One company is hoping technology will make it easier for advisers to determine if a retirement plan rollover meets the fiduciary standard. CapitalRock is expanding the functionality of its RightBRIDGE Product Profiler, which analyzes 401(k)...

Court decision on DOL fiduciary rule expected in February

January 10, 2018

A major court decision could be released on a lawsuit over the Labor Department's fiduciary rule after the partying is over next month on the Bayou. Opponents and advocates of the regulation have been waiting for months for the Fifth Circuit...

Finra panel awards investor $1.67 million in churning case

January 8, 2018

An all-public Finra arbitration panel has awarded a San Diego, Calif., investor the entire amount of her claim — $1.67 million in compensatory and punitive damages — against broker David Lloyd Barber and his firm, Madison Avenue Securities....

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...

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,...

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....

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,...

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...

What to expect on the regulatory front in 2018

January 2, 2018

The Securities and Exchange Commission enters 2018 with five members for the first time in more than two years. Now at full strength, the agency should be able to better pursue Chairman Jay Clayton's agenda, according to Karen Barr, president...

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...

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...

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,...

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....

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