Regulation And Legislation

Displaying 10525 results
REGULATION AND LEGISLATION DEC 18, 2017
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.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION DEC 18, 2017
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.

By Greg Iacurci
REGULATION AND LEGISLATION DEC 18, 2017
Report: Arbitrations handled by non-lawyers can harm investors

By InvestmentNews
FINTECH DEC 16, 2017
Cryptocurrency frenzy poses a challenge to advisers

Be sure to have a solid, informed case for your viewpoint on bitcoin.

By crain-api
REGULATION AND LEGISLATION DEC 15, 2017
Finra bars former LPL broker for 'misrepresentations'

Leslie Koonce denied he took part in private securities transactions.

By InvestmentNews
MUTUAL FUNDS DEC 14, 2017
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.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION DEC 14, 2017
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.

By Bloomberg
REGULATION AND LEGISLATION DEC 14, 2017
Finra bars former MML broker for refusing on-record testimony

Self-regulator was investigating Brian Travers' outside business and private securities transactions.

By InvestmentNews
REGULATION AND LEGISLATION DEC 13, 2017
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.

By Greg Iacurci
REGULATION AND LEGISLATION DEC 13, 2017
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.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION DEC 13, 2017
Finra bars former Next rep over incomplete information

Regulator was investigating JoeAnn Walker's sales of variable annuities.

By InvestmentNews
RETIREMENT PLANNING DEC 13, 2017
House bill would allow electronic disclosure of retirement plan information

Bipartisan measure would automatically enroll plan participants in electronic delivery.

By Hazel Bradford
REGULATION AND LEGISLATION DEC 13, 2017
NASAA: Promissory notes top investor complaints

State securities regulator group says investors also should beware real estate, Ponzi schemes.

By InvestmentNews
LIFE INSURANCE AND ANNUITIES DEC 13, 2017
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.

By Greg Iacurci
REGULATION AND LEGISLATION DEC 12, 2017
SEC charges Connecticut hybrid with fraud

Agency says Westport Capital's clients lost $1 million through inflated stock buys.

By InvestmentNews
FINTECH DEC 12, 2017
Jay Clayton issues cryptocurrency warning

SEC chairman urges investors to use common sense, market pros to mind securities laws.

By InvestmentNews
REGULATION AND LEGISLATION DEC 11, 2017
Industry opponents urge appeals court to rule on DOL fiduciary rule

Plaintiffs cite the two provisions of the regulation that became applicable in June, which they claim are 'imposing direct, substantial and continuing burdens on appellants' members.'

By Mark Schoeff Jr.
RETIREMENT PLANNING DEC 11, 2017
Fi360 upgrades adviser fee-benchmarking tool

Retirement plan advisers and firms can use software filters to see how their fees compare to industry peers.

By Ryan W. Neal
INDEPENDENT BROKER DEALERS DEC 11, 2017
Finra fines three former Cetera firms over sales

Investors Capital, J.P. Turner and VSR to pay $698,612 for pushing higher-priced fund classes.

By InvestmentNews
REGULATION AND LEGISLATION DEC 11, 2017
Finra bars two former Wells Fargo reps over unsuitable energy securities

California brokers Charles Frieda and Charles Lynch allegedly exposed clients to undue risks.

By InvestmentNews