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How 401(k) deductions were saved in budget drama
Diverse efforts and a tweet from Trump came together for rescue
Cutting through the red tape of adviser regulation is tricky
Don't expect a simple rollback of rules under the Trump administration in 2018 — instead, regulators are on pace to bolster financial adviser oversight.
Supreme Court review will bolster fairness of SEC’s in-house judges
Those challenging the constitutionality of administrative law judges argue their increased powers mean they should be appointed, not hired.
State measures to prevent elder financial abuse gaining steam
A growing number of states are looking to pass rules preventing exploitation of seniors
How advisers can manage IRA rollover risk under the DOL fiduciary rule
Analyzing rollovers could involve some challenging steps, like gathering information about investments, services and expenses in the retirement plan.
State fiduciary rules may be reckoning for life insurance industry
Unlike DOL fiduciary rule, New York's best-interest rule covers life insurance sales and could be a harbinger for other states
Lawsuits push 401(k) plan sponsors to cut fees
About 83% of plan sponsors reviewed their fees, and of those, 40% reduced overall fees, according to a new study
State measures to prevent elder financial abuse gaining steam
A growing number of states are looking to pass rules preventing exploitation of seniors.
Finra releases budget for first time, foresees declining operating revenues
Regulator reveals plans to hold senior officer salaries flat, and other financials, in transparency effort.
Why 401(k) advisers should be aware of contractual language limitations
A contract may not protect advisers to the extent they believe.
Finra, investigating misuse of funds, bars former Edward Jones rep
Matthew Kerby declined to participate in hearing looking into allegations.
Tax reform creates opportunities for advisers
Numerous changes to individual and business tax provisions are likely to create at least short-term demand for advice.
Legislation would make it harder for investors to sue mutual funds over high fees
A plaintiff would have to state in their initial complaint why fiduciary duty was breached, and then prove the violation with 'clear and convincing evidence.'
Bitcoin ETF fast track derailed by SEC liquidity, safety worries
ProShares and VanEck offerings are among those withdrawn at the agency's request.
Supreme Court review of SEC judges could roil pending cases
But long-term, the agency may get around questions of constitutionality by changing the way it brings on administrative law judges.
Finra bars broker involved with Dawn Bennett
Bradley Mascho already charged by SEC with abetting fraud.
In rare move, investment adviser named as defendant in NYU retirement plan case
It's one in a growing list of instances where plan advisers are being named co-defendants alongside their clients.
Fiduciary rule every bit as necessary for brokers, according to report
An article from the Wall Street Journal reveals that B-D reps are incentivized to recommend costlier investments to clients over cheaper ones.
Oops! Unintended consequences of tax-law changes
Will clients become more interested in paying commissions? Will the new tax law steer more financial advisers toward independent channels? It could.
Fiduciary groups urge SEC to prevent brokers from using ‘adviser’ title
Comment letters from the Committee for the Fiduciary Standard and the CFA Institute suggest the clarification is needed to differentiate brokers from investment advisers.
