Federal regulators soon will issue eagerly sought guidance to aid employers that want to amend their 401(k) plans to allow participants to roll over account balances into a Roth 401(k) plan
It remains to be seen whether lawmakers will extend tax cuts set to expire at the end of the year
Independent representatives and broker-dealers gained allies in the House leadership who will work with them to maintain their reps' status as independent contractors
In a comment letter posted to the SEC website last week, Richard Ketchum, Finra's chief executive, laid out in some detail what a self-regulatory organization for advisers might look like.
Republican takeover of the House of Representatives won't scuttle Dodd-Frank, but the party's decisive victory last week will likely shape implementation of the massive financial regulatory reform law through aggressive oversight of the rule-making process.
Advisers who live by the maxim “the early bird catches the worm” might want to think twice before getting a head start on making the switch to state registration
Ron Carson is exiting after more than two decades at the B-D. The well-known adviser cites shortcomings in the brokerage's RIA platform as one reason for his departure.
LPL Investment Holdings Inc. will make its market debut Nov. 17, according to sources familiar with the firm's planned initial public offering.
Finra and IAA square off in an adviser oversight battle
Rep. Spencer Bachus (pictured) is now in line to head the House finance committee -- and he's been a key supported of an SRO for financial advisers
If you want to believe that the lame-duck Congress will come to the rescue after Election Day and renew the Bush-era tax cuts, return the estate tax to its more palatable 2009 levels and increase the exemptions from the alternative-minimum tax, go ahead.
The SEC's study on fiduciary duty has inspired thousands of comment letters and nearly two dozen visits to the agency by interest groups. But a report that may have just as big an impact on the advisory industry is garnering little attention.
The U.S. Securities and Exchange Commission banned brokers from letting clients make unsupervised trades on stock exchanges amid concern that a rogue transaction could roil markets.
Pressure likely to be exerted on SEC, Finra, other agencies; 'unprecedented level of congressional oversight'
Commission said to be examing whether HRJ investment firm shifted debt obligations to limited partners
Tate George charged with running $2M Ponzi scheme; made memorable jumper for Huskies in NCAA tournament
Claims Salinas defrauded Lute Olsen, others out of $50M; killed self in July
Mueller pleads guilty to ripping off the Hall of Fame quarterback, 64 other clients; 'he's accepting responsibility'
Next Financial Group Inc. has been hit with a significant regulatory action for the third time in three years, with Finra this month levying a $400,000 fine and $102,000 in restitution to clients.
