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Finra bars no-show former Woodbury broker
Regulator was investigating Ronald Hannes for taking client funds intended to be used for life insurance
State regulators approve best-interest standard for annuity sales
Now individual states must adopt the measure through legislation or rule-making
A convicted felon barred twice from selling securities, this adviser clings to insurance
What does it take for an insurance agent to lose his license?
Trump budget could lead federal workers to put less money in Thrift Savings Plan
His proposed budget for 2021 lays out cuts to federal retirement benefits that would total $92 billion by 2030
BofA starts selling benefits packages to corporate banking customers
The company is pursuing more business with those clients by providing 401(k)s, HSAs and other benefits
Plan advisers get some relief on proposed California privacy regs
The state's new data-privacy law created a disclosure headache
Brokerage groups spend more on lobbying than adviser organizations
The top issues that groups targeted for Capitol Hill influence were the SECURE Act and a financial transactions tax
Ohio National settles with Kestra over VA commissions
The insurer faces one less lawsuit over its termination of trail compensation
Annuities are heading to 401(k)s
The SECURE Act makes it more likely that employer-sponsored plans will add insurance products, and advisers will have ample opportunities to help clients
After Rolling Stones tour, annuity group turns to research
The SECURE Act could boost annuities in 401(k)s, and an industry group wants to help insurers break into that market
Trade associations plan to step up political spending in campaign year
The Financial Services Institute and an insurance group are among those varying from their pace in previous cycles
Banned from selling securities but still hawking insurance
Three salesmen barred for selling the Woodbridge Ponzi scheme still have state licenses to sell insurance
Lincoln annuity seeks to ride TDFs’ coattails
Its new guaranteed-income annuity is the first to invest solely in target-date funds
Security Benefit’s legal woes over indexed annuities persist
Ten plaintiffs have teamed up in a class action alleging that the insurer misled contract holders about the performance of its proprietary indexes
TIAA will offer HSA to its retirement plan clients
Accounts will offer TIAA and Nuveen mutual funds
Small brokers push bill to ease audit rules despite challenging political environment
Legislation impacting financial advisers tries to get traction amid impeachment, election
Finra fines Prudential $1M over sloppy retirement-plan information
Regulator says flawed communications left plan participants in dark about investment costs
Regulators crack down on teacher pension plans rife with conflicts
Experts: Recent Delaware settlement a sign of things to come
Answers to the SEC’s Reg BI FAQs depend on facts, circumstances
When the CFP Board provides guidance for its fiduciary standard, it uses case studies
Mitigating the 3 common conflicts of AUM fiduciaries
Advisers who use an assets-under-management model should lead with planning and do what’s in the best interest of their clients at all turns
