Displaying 10213 results
Protecting client data at advice firms
Patch systems promptly, train employees regularly and prepare for the worst.
Former Valic broker Craig Edward Lewis barred for no-show
Finra was investigating whether he engaged in prohibited sales activities.
States may strengthen rules for selling annuities
Under a draft proposal being considered by insurance commissioners, agents would be required to put "the interests of the consumer first and foremost."
Texas REIT sues hedge fund boss Kyle Bass
United Development Funding alleges Mr. Bass made false claims that damaged its business
State of the long-term care insurance industry
The future is brighter than the storm clouds of the past
Senate tax bill is a hike on retail investors
The FIFO mandate favors investment companies, not clients, and should be removed.
Have annuity sales bottomed out?
Annuity sales have hit a 15-year low, primarily due to the Department of Labor's fiduciary rule.
Morningstar: Small-employer retirement plans need legislative fixes
Using 'open MEPs' and auto-IRAs might close the coverage gap and reduce plan costs.
Trump boosts tax plan with Obamacare assist
Legislation would restore Obamacare cost-sharing subsidies, which Trump said last month he would cut off.
Fross brothers must pay fired partner $1 million
Owners of marketing firm Platinum Advisor Strategies deny trying to terminate Robert Sofia without compensation.
Day after DOL delay, SEC’s Jay Clayton calls a fiduciary rule a priority
Chairman says it's important that the SEC be involved in coming up with a fiduciary standard that will make investors happy.
Tax-hike fears fuel talk of relocating
Wall Street crowd might consider moving to avoid a potential tax hike under congressional proposals.
UBS broker-protocol exit shows independent channel is bleeding wirehouses of advisers
Smaller shops have benefited from the broker protocol at the expense of larger firms like UBS, experts say
Delay of DOL fiduciary rule enforcement mechanisms now final
Supporter of regulation calls the postponement 'an effective repeal of the rule.'
CFPB in flux as dueling heads show up to lead
White House and the bureau itself both say the law is on their side over who gets to name new chief.
Clarifying difference between advice, sales not as simple as it sounds
Current rules require different standards based on whether advice is 'incidental' to a transaction.
Can the SEC and DOL really harmonize advice standards for brokers and advisers?
Experts ponder what a Securities and Exchange Commission fiduciary rule will look like, and whether it will help unify requirements across agencies.
Filial laws put kids on the hook for parents’ health-care costs
The laws underscore the need for advisers to have clients consider a long-term-care planning strategy
Finra bars no-show former Raymond James bank broker
Edward Zadworny failed to provide information in connection with annuity sales.
Excessive-fee litigation in retirement plan market moving downstream
What small-plan advisers can do to minimize fiduciary liability risk.
