Displaying 10214 results
Undoing unwanted RMDs
Ed Slott discusses whether clients who already took required minimum distributions this year can put that money back in light of the CARES Act
For charitable givers, CARES Act offers big tax breaks
The coronavirus recovery bill allows for the full deduction of your donation up to your adjusted gross income
Court orders Aequitas to disgorge $453 million in fraud case
CEO Robert Jesenik and other firm executives were barred and penalized
Texas judge shuts sham state securities regulator
The website tried to steal information by claiming to protect investors
House overwhelmingly passes aid bill
President Trump is scheduled to sign the $484 billion coronavirus stimulus package Friday
Finra proposes one-stop shopping for background checks on advisers
Under its proposed rule, BrokerCheck and the SEC's database would display the same information on dual registrants
Bid to let states go bankrupt quickly nixed a decade ago
Mitch McConnell's comment came as Congress considers extending aid to cities and states that are seeing tax revenue disappear as wide swaths of the economy are shut down
Dispelling CARES Act confusion
Ed Slott clears up questions about how the CARES Act will affect required minimum distributions
Another broker sues Ohio National over VA commissions
Somerset Securities recently filed a case against the insurer over its 2018 decision to halt trail commissions on certain variable annuity contracts
The CARES Act: Relief for retirement plan participants
Plan sponsors will need to amend their plans to cover the CARES Act changes that they decide to implement
Advisers should look before leaping into stimulus debt programs
Unless it's a matter of business survival, the strings attached to the loans might prove even more costly
SEC settles fraud charges against Ponzi-scheme participant
Former adviser Barry Bekkedam will pay a $100,000 fine plus interest
Advisers want CFP continuing education to count toward state requirements
NASAA model rule would require IARs to complete CE to close the regulatory gap with brokers
No free lunch (not even for Tom Hanks) on IRA distributions
Ed Slott separates fact from fiction about how the CARES Act will affect clients’ retirement savings
Barred adviser gets prison time for GIC Ponzi scheme
Lester Burroughs allegedly misappropriated more than $500,000 from clients' accounts
Putnam, Emory University settle ERISA lawsuits
The investment firm will pay $12.5 million to put a 2015 case behind it, court records show
SEC penalizes Boston RIA $1 million over private fund marketing
Regulator says Old Ironsides distributed materials with misleading information
Finra postpones arbitrations through July 3
Postponement fees will be waived for hearings scheduled from July 6 through Sept. 4
Financial industry opponents remain wary of SEC’s crackdown on share-class disclosure
The end of the formal initiative failed to soothe worries about future enforcement
Investment options overpriced in pharmaceutical company’s 401(k) plan: lawsuit
Pharmaceutical Product Development mismanaged its 401(k) plan, opting for costlier investments than necessary, plaintiffs say
