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CFP Board modifies details of revised standards but maintains strengthened fiduciary duty
Under second proposal, CFP Board tweaks pre-engagement client disclosure, clarifies rules for non-financial-planning advice.
Congress sends Trump tax-cut bill
House Republicans passed the most extensive rewrite of the U.S. tax code in more than 30 years.
Finra fines Merrill Lynch $1.4 million over extended settlement transactions
Regulator said non-standard trades led to firm miscalculating net capital.
Ex-Smith Barney broker who needed new heart in fight with Morgan Stanley over clients
Broker claims he had an agreement to get half of his book of business back if he returned to work.
Final tax bill gives pain, relief to financial advisers
Legislation would eliminate itemized deduction for investment advice fees, give income tax breaks depending how a business is structured, and allow for continued stock-sale flexibility.
Tax plan: Everything financial advisers need to know about the final bill
The latest version of the Tax Cuts and Jobs Act has many changes from current law that would affect advisers and clients.
Report: Arbitrations handled by non-lawyers can harm investors
A report by the Public Investors Arbitration Bar Association charges that investors using a non-attorney representative in a…
Cryptocurrency frenzy poses a challenge to advisers
Be sure to have a solid, informed case for your viewpoint on bitcoin.
Finra bars former LPL broker for ‘misrepresentations’
Leslie Koonce denied he took part in private securities transactions.
Regulators showing renewed interest in cracking down on investment fees
SEC, Finra targeting high-fee share classes, 12b-1 fees and failure to give sales load discounts and waivers to investors.
Tax update: Brady says sales tax deduction in final bill
Taxpayers will be able to deduct state income taxes or state sales taxes in addition to property levies — up to a $10,000 cap.
Finra bars former MML broker for refusing on-record testimony
Self-regulator was investigating Brian Travers' outside business and private securities transactions.
Tax bill may up capital gains taxes, disrupt adviser strategies
The so-called FIFO provision could also lead to yet-unrealized planning opportunities for advisers.
Broker, retirement groups make last-minute pleas to change tax legislation
Pass-through provisions are target of groups representing employee-model brokerage firms, as well as retirement plan advisers.
Finra bars former Next rep over incomplete information
Regulator was investigating JoeAnn Walker's sales of variable annuities.
House bill would allow electronic disclosure of retirement plan information
Bipartisan measure would automatically enroll plan participants in electronic delivery.
NASAA: Promissory notes top investor complaints
State securities regulator group says investors also should beware real estate, Ponzi schemes.
Critics say regulation hasn’t curbed overly rosy projections for indexed universal life insurance
They say rule didn't go far enough and more stringent measures may be necessary.
SEC charges Connecticut hybrid with fraud
Agency says Westport Capital's clients lost $1 million through inflated stock buys.
Jay Clayton issues cryptocurrency warning
SEC chairman urges investors to use common sense, market pros to mind securities laws.
