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Adviser optimism rises for fourth quarter
Heading into Q4, advisers are feeling more confident about financial markets, their businesses and the overall economy
Don’t count Trump out, but adviser pundits make Biden favorite to win
Valliere, Gardner see a narrow Electoral College victory for the former vice president
3 mistakes new IRA beneficiaries are making
Stretch IRA or 10-year rule? Advisers need to explain to clients which set of tax rules applies
FBI charges missing radio show adviser with mail fraud
Christopher W. Burns allegedly defrauded hundreds of thousands of dollars from clients, according to the agency
SEC approves rule limiting use of derivatives in funds
Agency also seeks comments on whether additional rules are needed to protect investors buying complex products
Most investors regret tapping 401(k)s early — but would do it again
COVID-19 could lead more workers to take money out of retirement accounts, according to a survey from Edelman Financial Engines
Advisor Group cuts pricing for wrap fee accounts
Broker-dealers have been competing to lower fees in order to reduce potential conflicts of interest
Best practices for financial adviser text messaging
The $100,000 fine the SEC imposed on a wealth management firm related to its employees’ text messages shows the need for caution in this area
Finra denies J.P. Morgan effort to clamp down on breakaway brokers
Arbitrators also rebuffed brokers’ counterclaims of defamation and unfair competition
Bipartisan retirement bill would increase RMD age to 75
The measure would build on the SECURE Act, but its legislative path is uncertain
DOL posts record financial recoveries for benefits plans
More than $3 billion was returned in fiscal 2020 through investigations, voluntary corrections and other programs, according to the agency
SEC reportedly shelving proposed change to stock reporting threshold
Under the rule change, only managers with at least $3.5 billion in equities would have had to publicly report their holdings, up from the current $100 million threshold
Brokers generally ‘meeting their obligations’ on Reg BI: Clayton
Advisory firms should provide more details to reps on how to comply with the new rules, said SEC staff members
Demand for financial wellness is overwhelming
Plan sponsors want the services for their participants, but wellness has done little to help people improve their financial lives
Stocks hit on COVID concerns, fading hopes for fiscal stimulus
Stocks pared their losses during the afternoon as the biggest tech companies recovered
SEC Democrats object to no-action letter on brokers borrowing securities
Lee, Crenshaw say the agency is providing leeway to violate the rule, putting investor funds at risk
SEC slaps former adviser with $4.24 million penalty
Paul Horton Smith Sr., who's awaiting trial, targeted California seniors in Ponzi scheme
Auto-IRA states, AARP blast CalSavers lawsuit claims
Oregon, Illinois and others are backing California in a legal attack on the state's auto-IRA system, while the Trump administration has taken the opposite side
Senate Democrats urge SEC to scrap proposed boost in stock reporting threshold
Lawmakers say SEC lacks authority to lift current $100 million ceiling and the change risks reducing transparency
Goldman hit with $2.9 billion fine in 1MDB case
CEO David Solomon and his predecessor, Lloyd Blankfein, will return some compensation as part of the deal
