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Bills to reform adviser regulation, increase sophisticated investors and protect seniors pass House

July 17, 2018

The House of Representatives gave overwhelming bipartisan approval Tuesday to legislation that included bills to reform investment adviser regulation, expand the pool of sophisticated investors and protect senior investors. The measures were...

States sue over federal cap on tax deductions

July 17, 2018

Four Democratic-led Northeastern states sued the Trump administration to invalidate the new $10,000 cap on the federal tax deduction for state and local taxes. New York,​ New Jersey, Connecticut and Maryland claim the sweeping 2017 federal...

Retirement savings proposals introduced in Senate, under discussion in the House

July 17, 2018

A bipartisan group of senators introduced a package of retirement savings bills Tuesday that includes making it easier for small employers to join pooled employer plans and giving employers incentives to use automatic enrollment and automatic...

Advisers applaud House bills to expand health savings accounts

July 16, 2018

Investment advisers applauded legislation recently passed by a House committee to expand health savings accounts, but the measures face a difficult road ahead. Last week, the House Ways and Means Committee approved a roster of bills designed...

803 small broker-dealers push for legislation to ease audits

July 13, 2018

Hundreds of small broker-dealers are urging lawmakers to support legislation that would ease their annual auditing costs. In a July 9 letter to House Financial Services Committee chairman Jeb Hensarling, R-Tex., and ranking member Maxine Waters,...

House panel approves bills to adjust regulations for small RIAs, protect senior investors

July 11, 2018

The House Financial Services Committee approved a bill Wednesday that could adjust regulations to better fit small investment advisory firms The panel also approved a measure that would require the Securities and Exchange Commission to establish...

Bill could ease regulatory burden on small investment advisory firms

July 10, 2018

Federal legislation poised for consideration by a House committee on Wednesday could reduce regulatory costs for smaller investment advisory firms. Under the bill, written by Rep. Gwen Moore, D-Wisc., the Securities and Exchange Commission would...

House introduces bill targeting elder financial abuse

July 10, 2018

The House Financial Services Committee will vote Wednesday on a bill to establish an interdivisional task force at the Securities and Exchange Commission to protect senior investors. Introduced by Rep. Josh Gottheimer, D-N.J., the National Senior...

Push to require Roth 401(k) savings over traditional plans may re-emerge

June 26, 2018

Retirement plan advisers who thought Washington had ditched the idea of requiring Roth 401(k) savings instead of traditional 401(k)s should think again. Those who closely follow retirement policy say senior legislators on Capitol Hill are again...

When your client dies, who gets their airline miles?

June 19, 2018

When your client dies, who owns the pictures on their Facebook page? Who has control of their electronic bill-payment sites or bitcoin account? Who is responsible for shutting down or memorializing social media sites? Digital rights ownership...

Pass-throughs versus C corporations under the new tax law

June 8, 2018

The new federal tax law has changed the calculus around the selection of business entities by financial advisers and their clients. Advisers trying to determine whether it's best to be a pass-through entity or a C corporation under the new regime...

The legacy of the DOL fiduciary rule: Almost gone, but never forgotten

June 2, 2018

Even as the Labor Department's​ fiduciary rule teeters on the edge of demise, its legacy will continue to profoundly influence how investment advice is delivered. The regulation's likely obituary will not be as heart-wrenching for its supporters...

Tax law: Why changes to the kiddie tax are a 'big deal' for advisers

May 31, 2018

The new federal tax law made changes to the so-called "kiddie tax" that could impact how some advisers handle their clients' financial plans. While experts say lawmakers largely simplified the kiddie tax, the changes may change how some clients...

Pass-through tax strategies for business-owner clients

May 21, 2018

The pass-through deduction created by the new federal tax law has inspired a raft of planning opportunities for financial advisers looking to minimize business clients' tax bills. The provision provides a 20% tax deduction on qualified business...

Oregon auto-IRA success shows national program would 'work well,' advocate says

May 16, 2018

Oregon's auto-IRA program has only been around a few months, but its early success demonstrates a similar framework could work at the national level, a proponent said at a congressional hearing Wednesday. Oregon launched a pilot phase of its...

N.J. homeowners get law to skirt Trump's lowered tax deductions

May 7, 2018

New Jersey Gov. Phil Murphy signed legislation last week to let homeowners declare property taxes as charitable donations that are deductible on their annual Internal Revenue Service filings. The measure is a response to the law signed by President...

Senators introduce bill calling for retirement commission to guide Congress

April 27, 2018

Bipartisan legislation introduced in the Senate Wednesday would create a federal commission to give Congress suggestions on how to improve private retirement benefits programs. Action on the bill co-sponsored by Sens. Todd Young, R-Ind., and...

One adviser's journey to becoming a citizen advocate

April 18, 2018

Some of the most rewarding experiences my team and I at the Financial Services Institute encounter as advocates for our industry come when we see the proverbial "light'" click on for our adviser members and we get a front row seat as they grow...

Retirement-savings bill draws broad support, optimism for passage this year

March 30, 2018

Supporters of legislation designed to increase retirement savings are hopeful the measure will be approved by Congress later this year, despite being left out of a recent spending bill. The Retirement Enhancement and Savings Act of 2018 was...

Business development company language added to spending bill allows for increased leverage

March 23, 2018

Legislation that would allow business development companies to increase their use of debt and potentially boost returns became law Friday afternoon. The BDC measure was included in a $1.3 trillion appropriations bill approved by the House on...

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