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SEC chairman nominee Clayton not asked about key adviser issues, reveals no specific plans

March 23, 2017

After two hours and twenty-five minutes of testimony before the Senate Banking Committee on Thursday, President Donald J. Trump's nominee to chair the Securities and Exchange Commission, Jay Clayton, remains a blank slate on issues affecting...

Bipartisan bill seeks to ease hurdle for small-business retirement plans

March 22, 2017

In a rare display of bipartisan cooperation, Republican and Democratic senators and representatives have introduced a bill that would make it easier for small businesses to offer retirement plans to their employees. "For smaller employers, offering...

Faltering congressional support for auto-IRAs leaves legislation up to states

March 19, 2017

Our private pension system has accomplished a great deal. Employer-sponsored plans provide meaningful benefits to tens of millions of middle-income working families, supplementing Social Security, and have accumulated the largest pool of investment...

Finra's lobbying expenses down, but regulator still spends heavily to make sure its voice is heard on Capitol Hill

March 16, 2017

Finra's lobbying bill fell to its lowest point in four years in 2016, but the broker-dealer regulator still spends a hefty amount to have its voice heard on Capitol Hill. The Financial Industry Regulatory Authority Inc., the brokerage industry's...

Senate panel approves bill to promote ETF research

March 9, 2017

Legislation that would allow for wider distribution of research on exchange-traded funds advanced in the Senate on Thursday. The Senate Banking Committee approved the measure, the Fair Access to Investment Research Act of 2017, by a voice vote....

Advisers embrace elimination of Obamacare taxes, question GOP replacement plan

March 7, 2017

Financial advisers endorse the elimination of taxes that funded the Affordable Care Act but wonder about the extent of the health insurance coverage that will result from the House Republican substitute plan. The House Ways and Means and Energy...

Senate moves to kill DOL's state, city auto-IRA rules

March 6, 2017

The Senate has moved to kill Obama-era retirement rules governing so-called auto-IRAs for states and cities, following similar action taken up in the House of Representatives in recent weeks. Sen. Orrin Hatch, R-Utah, introduced two separate...

Dodd-Frank reform may be put on back burner

March 2, 2017

The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 looked like a goner when President Donald J. Trump was elected in November. During the campaign, Trump repeatedly blasted the law as a loan-killing, anti-job disaster. His...

Advisers' confidence in Trump soars after president's address to Congress

March 1, 2017

President Donald Trump's address to a joint session of Congress on Tuesday made him look "more presidential" and boosted financial advisers' confidence in his performance, according to interviews with advisers and an InvestmentNews reader survey....

9 estate planning moves to make regardless of political uncertainty

February 27, 2017

As we wait to see what changes the new presidential administration will bring, it’s very tempting to wait to see what they will be and how they’ll impact our lives. But waiting until we have certainty isn’t the wisest course. Inaction...

SEC's Piwowar calls for expanding participation in private placements to help 'forgotten investor'

February 24, 2017

Acting Securities and Exchange Commissioner Michael Piwowar called for allowing ordinary investors to buy unregistered securities, a step that would allow the agency to address the "forgotten investor" who he said is often overlooked by its...

Lower taxes could hit municipal bond yields

February 13, 2017

The one drawback to lower tax rates: Muni bond prices could take a hit, according to Peter Hayes, BlackRock's head of municipal bonds. People buy municipal bonds primarily because their interest is free from federal, and sometimes state, income...

Congress seeks to kill DOL rules on state, city auto-IRA programs

February 8, 2017

Republicans are trying to take more Obama-era retirement regulations off the books, their most recent target being Labor Department rules promoting the establishment of auto-IRA programs by cities and states. Two House Republicans introduced...

Senator Elizabeth Warren tells acting DOL secretary, 'Financial firms back fiduciary rule'

February 7, 2017

Sen. Elizabeth Warren, D-Mass., told Acting Labor Secretary Edward Hugler today that financial firms back the investment-advice rule whose implementation he is likely to delay as part of a review ordered by President Donald Trump. In a letter...

Dodd-Frank repeal could lead to big changes for indexed annuities

February 6, 2017

President Donald Trump's executive order to review the Dodd-Frank financial reform law could wind up complicating the indexed annuity market for insurers and distributors. Dodd-Frank, signed into law in 2010 under the Obama administration, contained...

What you need to know now about Trump's plan to halt DOL fiduciary rule

February 3, 2017

The DOL is being directed to examine the fiduciary duty rule to determine whether it may adversely affect the ability of Americans to gain access to retirement information and financial advice. As part of this examination, the DOL is expected...

House Republican Pete Sessions calls on Trump to delay DOL fiduciary rule

February 2, 2017

A House Republican lawmaker on Thursday called on President Donald Trump to delay the April implementation of a Labor Department investment-advice regulation. In a letter to Mr. Trump, Rep. Pete Sessions, R-Texas and chairman of the House Rules...

FSI expects a more business friendly environment in 2017

January 31, 2017

The political world is still responding to the monumental and unexpected change we saw at the end of 2016, as the Republican party — led by now-President Donald J. Trump — took control of the White House and both houses of Congress. Our...

Dodd-Frank law may be Trump's next big target

January 30, 2017

President Donald Trump stepped up his criticism of financial regulations, pledging to go after the 2010 Dodd-Frank banking overhaul because he said the law has made it difficult for businesses to get loans. “We're going to be doing a big number...

More states likely to approve senior financial abuse regulations

January 24, 2017

More states will approve a regulation this year designed to curb financial abuse of the elderly, the head of an organization representing state regulators predicted on Tuesday. Last year, the North American Securities Administrators Association...

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