Results for "regulation"

Displaying 4,848 results

Sort: Date | Relevance

Author:

Finra bars no-show former Raymond James bank broker

November 22, 2017

The Financial Industry Regulatory Authority Inc. has barred Edward M. Zadworny for failing to comply with an information request in connection with the former broker's sales activities. From December 2015 to November 2016, Mr. Zadworny was a...

J.P. Morgan Securities fined $1.25 million by Finra

November 21, 2017

The Financial Industry Regulatory Authority has fined J.P. Morgan Securities $1.25 million for failing to conduct timely or adequate background checks on approximately 8,600, or 95%, of its non-registered personnel. The lapse in oversight occurred...

Year-end charitable-giving strategies

November 21, 2017

The tax code provides high-net-worth charitable donors with strategic opportunities to make their philanthropic activities go further. Opportunities also exist that can minimize their income and estate and gift tax liabilities, increase the...

SEC to target more individual advisers in 2018, experts say

November 20, 2017

Advisers should be extra careful in 2018, since the Securities and Exchange Commission's new leadership plans on taking a closer look next year at individual practitioners who serve retail investors, according to some legal and compliance experts...

Congresswomen put financial advice issues front and center

November 20, 2017

Since their early days in Congress, women have often defied prevailing gender stereotypes by focusing on issues once considered the domain of men. The late Sen. Margaret Chase Smith, R-Maine, for example, concentrated on military affairs and...

No-SALT diet could be financially unhealthy for some clients

November 17, 2017

Financial advisers are bracing for a no- or low-SALT diet for their clients. The Senate tax-reform bill, which was approved by the Senate Finance Committee on Thursday night, would get rid of all state and local tax deductions to help pay for...

Tax reform: Retirement industry dodges bullet as Senate and House bills advance

November 17, 2017

The retirement industry can breathe a collective sigh of relief today as the House and Senate tax bills advance in their respective chambers. Despite all the doomsday talk relative to setting strict limits on pre-tax 401(k) contributions and...

Senate committee approves tax plan but full passage not assured

November 17, 2017

Hours after House Republicans jubilantly passed their tax bill, their colleagues on the Senate Finance Committee approved a far different version -- one that postpones difficult questions as lawmakers rush to refashion much of the U.S. economy...

Finra bars no-show ex-Woodbury rep

November 17, 2017

The Financial Industry Regulatory Authority Inc. has barred Robert H. Hoffmann, a former broker with Woodbury Financial Services, for failing to take part in an investigation looking into his trading recommendations. In October, Finra staff...

House passes tax bill, focus turns to Senate

November 16, 2017

House Republicans passed their version of legislation to overhaul the U.S. tax code by slashing the corporate tax rate, lowering tax burdens for most individuals and adding an estimated $1.4 trillion to the federal deficit over the next decade....

'Affiliation arbitrage' is a bad reason to go RIA

November 16, 2017

The past several years have witnessed a surge in the number of independent financial advisers who have established their own RIAs – often motivated by the desire to achieve a form of "affiliation arbitrage." By sidestepping broker-dealer and...

CFP Board makes changes to proposed code of ethics, will seek more comments

November 15, 2017

The Certified Financial Planner Board of Standards Inc. has made changes to a revised code of ethics and standards for CFPs and will seek further comments before finalizing them, the group's chairman said on Wednesday. Earlier this summer, the...

Schwab execs sound off on Bitcoin, HSAs and Morgan Stanley exit from broker protocol

November 15, 2017

Bitcoin may be quickly gaining popularity as an emerging investment, but it's more likely to be disrupted by governments than to be a disrupter itself, a Charles Schwab & Co. Inc. executive said on Wednesday. Since the beginning of the year,...

SEC enforcement of advisers drops in Trump era

November 15, 2017

The Securities and Exchange Commission has relaxed enforcement under the administration of President Donald J. Trump. In a report the agency released Wednesday evening, the SEC stated that in fiscal year 2017 it pursued 82 standalone cases against...

Consumer Financial Protection Bureau's Cordray to step down

November 15, 2017

Richard Cordray will step down as the head of a controversial consumer watchdog at the end of the month amid growing speculation that he will run for governor of Ohio as a Democrat. His decision means President Donald J. Trump should soon get...

Changes to Senate tax bill affect pass-throughs, Roths

November 15, 2017

The Joint Committee on Taxation released a modified version of the Senate GOP tax bill late Tuesday that offers a mixed bag of pros and cons for financial advisers and their clients. Primarily, in a huge departure from its original proposal,...

PIABA accuses Finra of conflicts of interest

November 15, 2017

The Public Investors Arbitration Bar Association, a group of lawyers that represents retail investors who sue brokerage firms, in a new report Wednesday morning took aim at perceived conflicts of interests at the board of governors of the Financial...

Wells Fargo requires advisers to use level fees for new 401(k) business

November 14, 2017

Wells Fargo Advisors is requiring that financial advisers servicing 401(k) plans do so in a level-fee arrangement for new business, as have other large brokerage firms, in response to the Department of Labor's fiduciary rule. "We have moved...

Repealing estate tax could open new path to wealth for clients

November 14, 2017

As House and Senate Republicans pursue competing tax overhaul plans, financial advisers should be aware that one big disagreement is the estate tax. House Republicans want to repeal it in 2024 while their Senate colleagues want to preserve it....

Mohamed El-Erian in race for Fed Vice Chair: CNBC

November 14, 2017

The White House is considering bond guru Mohamed El-Erian for the vice chairmanship of the Federal Reserve, according to a report by CNBC. Currently chief economic adviser at Allianz and former CEO of its fixed-income powerhouse Pimco, Mr. El-Erian...

Next Page »

1 | 2 | 3 | 4 | 5 ... 243