The Trump administration review is prompting some retirement plan specialists to hold back on implementing parts of the rule that are vague or challenging.
The hedge fund paid a more than $1 million settlement to a woman who had a relationship with the top exec, according to Wall Street Journal report.
The House bill seeks to limit the 25% rate to manufacturers, but will still creates opportunities for strategic tax management.
A Heritage Foundation event was the latest in a flurry of high-level talks about the embattled SRO
Thrivent Financial for Lutherans argues the regulation's class-action provision violates its agreement with clients.
Provisions in the tax bill will affect advisers and their clients alike.
The new SEC chairman is confident he can up come with a rule better than that of the Department of Labor — one that satisfies brokers, investment advisers and investor advocates alike.
Compliance teams must rigorously vet the records of new advisers in order to limit the risks that come with consolidation-driven recruits.
Arbitrators rule that Morgan Stanley violated trade secrets by "maliciously and willfully" appropriating a Schwab client list.
While pre-tax 401(k) contribution limits are off the table (for now), the Republican tax bill nonetheless makes changes to retirement savings plans.
Finra censured firm for selling clients more expensive share classes.
The proposed measure leaves 401(k) plans alone, but makes sweeping changes in many other areas, including mortgages, property taxes, pass-through income and charitable deductions.
Two of the three Finra arbitrators split their decisions in the case of James E. 'Jeb' Bashaw, a one-time star at LPL who was fired in 2014.
Move would give DOL more time to conduct review of fiduciary regulation ordered by Trump.
Clients may need to navigate shifting tax brackets, re-characterizations of Roth IRA conversions, reconsidering the value of charitable contributions, and restrictions on the mortgage interest deduction.
Proposed legislation is designed to give manufacturers the lower 25% tax rate, not professional service firms such as financial advisers, lawyers and accountants.
JPMorgan Chase & Co. disputes Jennifer Sharkey's claim, saying firing was about poor performance, not her investigation of a client.
Confirmation by the Senate would give SEC full complement of five members for first time in more than two years.
The ex-broker was accused of collecting $2.5 million in excessive commissions and fees from at least 50 clients.
If 401(k) pre-tax contributions are curtailed, several groups plan to launch nationwide campaigns against the effort.
