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Time for SEC to take fiduciary baton from DOL
The SEC likely will adopt the DOL's definition of fiduciary, and put a rule in place by the end of 2019.
What to expect on the regulatory front in 2018
Senior reporter Mark Schoeff Jr. speaks with Investment Adviser Association CEO Karen Barr about what's to come now that the SEC has a full commission, including how the agency might proceed on its fiduciary rule.
The biggest losers and winners of 2017
Independent advisers and investment clients fared much better than the DOL rule and robo platforms.
Roth IRAs hit 20 years old on New Year’s Day
The tax-advantaged retirement vehicle has grown in popularity among advisers and clients, despite obstacles.
Rep fired by NY Life barred from industry for failing to show up at Finra hearing
Tyrone Pang was terminated for accepting a customer's check made payable to himself for an insurance premium payment.
Tax bill may change your clients’ health-care costs
Pay attention to new rules for the "individual mandate" requirement and the medical expense deduction floor.
Fake comments hit regulators seeking input on proposed rules
Fraudulent posts criticize the DOL fiduciary rule, and other groups overseeing advisers are similarly vulnerable.
Assets in fiduciary accounts grow to 42% of total
Cerulli says 'concern for fiduciary alignment' will color product selection.
Citigroup must pay $11.5 million over garbled stock ratings
Finra says the bank's ratings system was riddled with errors and cost clients money.
Ask the Ethicist: Help the CFP Board improve its revised standards
The proposal is a worthy effort that needs tweaking, so weigh in during the Jan. 2 to Feb. 2 comment period.
Your tax bill questions answered
Leon LaBrecque, managing partner at LJPR Financial Advisors, offers guidance on Washington's major overhaul.
Tax bill prompts client questions on prepaying property taxes before 2018
Advisers say to accelerate deductions, if the client's county allows prepayment and the client can afford it.
William Galvin fines Securities America over radio ads
Failure to supervise rep's efforts to woo elderly costs firm $125,000 in Massachusetts.
New York State proposes ‘best interest’ standard for life insurance and annuities
State would require products best suited for clients to be sold over those most profitable to sellers.
J.P. Morgan fined $2.8 million for clearing errors
Finra says Bear Stearns' flawed system led to securities segregation issues
Finra bars ex-Merrill broker alleged to have borrowed money from clients
John James informed the regulator that he would not give testimony during its investigation into Merrill's allegations.
Trump signs $1.5 trillion tax cut
The bill slashes the corporate tax rate to 21% from 35% and cuts individual tax rates across the board.
Merrill Lynch fined $26 million over suspicious transactions
SEC and Finra say firm failed to implement reasonable anti-money laundering procedures.
CFP Board touts revised standards in $80,000 Wall St. Journal ad
Organization showcases support from pro-fiduciary consumer groups, but not everyone is on board.
New DOL, SEC officials help advance fiduciary rule work
Senate confirms Preston Rutledge to key Labor Department role, while Hester Peirce and Robert Jackson Jr. join SEC as commissioners.
