Displaying 28267 results
Tax reform might give wealthy a big loophole
High earners could take advantage of a measure meant to help business owners, straining the IRS.
DOL fiduciary rule: Challenges for RIAs under the BICE
Recommendations to roll over retirement-plan assets, to transfer IRAs and advice generating additional payments like 12b-1 fees are trouble areas for RIA firms.
How parenthood really affects your ability to save for retirement
The financial effects of having children can last for the rest of your life, according to a new study.
SEC Chairman Jay Clayton doesn’t intend to pursue third-party RIA exams
Agency forecasts it will inspect at least 14% of registered investment advisers in current fiscal year, up from 10% in recent years, but still below the 50% rate achieved by Finra for B-Ds.
H. Beck censured, fined $50,000 for unsuitable ETF trades
Letter of consent comes after firm paid $1.5 million in related arbitration case.
General Electric 401(k) participants sue over poor-performing GE Asset Management funds
Plaintiffs allege GE breached fiduciary duties by selecting proprietary funds.
Seniors get hopping to meet reverse-mortgage deadline
Demand for mandatory pre-loan counseling outstrips supply as Oct. 2 looms.
Private equity firms see hidden value in 401(k) record keeping
There appears to be money for "pure" record keepers that don't use asset management fees as a crutch.
SEC charges three brokers with high-cost unsuitable trading
The regulator alleges the brokers recommended a pattern of high-cost frequent trading without telling clients that such a strategy was unlikely to produce profits.
Tax reform anomaly could diminish some companies’ need for 401(k) plan
A dichotomy in the tax treatment of retirement deferrals and business income could discourage creation, maintenance of plans by some pass-through entities.
Kovack Securities buys brokerage assets of Capital Guardian
Capital Guardian's $593 million RIA is not part of the sale.
InvestmentNews is looking for the ‘Best Places to Work’ for financial advisers
Guide will give employers a chance to put their best foot forward in competitive labor market. Registration ends Friday.
What to do when your broker-dealer gets acquired
Don't panic, but seize the chance to investigate other firms
Wagner introduces bill to kill DOL fiduciary rule
Legislation would establish a different best interest standard that would require brokers to disclose the compensation they receive and any conflicts of interest that are linked to investment products they sell.
Fidelity has ‘real need’ to recruit more women, Johnson says
Female clients prefer female advisers, the fund giant has found
Seniors scramble to beat reverse mortgage deadline
Demand for mandatory pre-loan counseling outstrips supply.
Judge dismisses lawsuit by Wells Fargo 401(k) participants
Plaintiffs failed to show the 401(k) plan executives breached their fiduciary duties, according to the judge.
SEC’s Clayton says agency is ‘pushing’ toward a fiduciary rule, working with DOL
While Senate hearing focused on recent cyberbreach, SEC chairman highlighted fiduciary duty as 'a priority for me.'
401(k) lawsuit attacks excessive advisory fees paid to UBS
Litigation regarding retirement plan adviser fees is rare, but some believe it will become more prevalent.
Finra awards $1.5 million to victims of broker fraud
Barred Michigan rep Christopher Tolmacs 'pocketed' money for funds.
