Regulation And Legislation

Displaying 10526 results
RETIREMENT PLANNING MAR 30, 2017
Senate votes to kill city auto-IRA rules

The Obama-era regulations will likely be scrapped by President Trump, whose administration has already taken a stance against them.

By Greg Iacurci
REGULATION AND LEGISLATION MAR 30, 2017
Senate bill aims for higher SEC enforcement penalties

The bi-partisan legislation would permit the regulator to pursue larger fines through its administrative process

By Mark Schoeff Jr.
REGULATION AND LEGISLATION MAR 30, 2017
DOL fiduciary rule supporters question agency's quick read of comment letters before sending final delay to OMB

Advocates for the rule say the Trump Department of Labor is moving too quickly.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION MAR 29, 2017
DOL sends final fiduciary rule delay to Office of Management and Budget

The OMB will review the final rule and, if it approves the measure, send it back to the DOL to finalize the delay.

By Greg Iacurci
REGULATION AND LEGISLATION MAR 29, 2017
DOL fiduciary rule changes not one size fits all

Broker-dealer changes affect how advisers can do business.

By Jodie Papike
OPINION MAR 29, 2017
Pooled employer plans set to dominate small 401(k) market

By Fred Barstein
REGULATION AND LEGISLATION MAR 29, 2017
Finra bars broker charged in NY pension fund hookers, strippers and drug scandal

The "pay-for-play" bribery scheme involved the $184 billion New York State Common Retirement Fund and payments for hookers, strippers and drugs.

By Bruce Kelly
REGULATION AND LEGISLATION MAR 28, 2017
Employee feud scaring clients of Independent Portfolio Consultants

Workers tried to force TAMP into bankruptcy, then pulled petitions, but damage was done. ​ 

By Jeff Benjamin
FINTECH MAR 28, 2017
Salesforce adds CRM features to help advisers grow businesses

One new business tool highlights client opportunities

By Liz Skinner
REGULATION AND LEGISLATION MAR 27, 2017
SEC slaps restraining order on Chicago adviser for allegedly scamming seniors

Daniel Glick doctored statements, siphoned millions from elders' accounts, regulator says.

By InvestmentNews
RETIREMENT PLANNING MAR 26, 2017
Change in Washington shouldn't include cutting tax deferrals

Removing the tax savings element of workplace retirement plans would surely make saving less appealing.

By crain-api
RIA NEWS MAR 24, 2017
Broker, RIA found guilty of $15 million stock fraud

Duo scammed 100 investors in pump-and-dump scheme.

By InvestmentNews
RETIREMENT PLANNING MAR 24, 2017
Morgan Stanley eliminating commissions, finder's fees in 401(k) plans

By Greg Iacurci
ALTERNATIVES MAR 24, 2017
Resolving Nick Schorsch's legal problems taking a long time

Criminal trial for an associate is slated to start in June, but little has been resolved on civil side.

By Bruce Kelly
RETIREMENT PLANNING MAR 24, 2017
Merrill Lynch and Morgan Stanley: A tale of two fiduciary 401(k) business models

Each firm uses an approach that mitigates risk, but some observers say they're more for show than potential problem solving

By Greg Iacurci
REGULATION AND LEGISLATION MAR 23, 2017
SEC chairman nominee Clayton not asked about key adviser issues, reveals no specific plans

Jay Clayton spent most of his confirmation hearing fending off questions about conflicts.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION MAR 23, 2017
SEC moving to bar former broker from Financial Network Investment Corp.

William Bucci, who has already been barred by Finra, pled guilty to charges of securities fraud last June.

By Bruce Kelly
REGULATION AND LEGISLATION MAR 23, 2017
Community bank B-D fined for selling seniors unsuitable investments

Massachusetts orders Investment Professionals Inc. to pay $100,000 fine.

By InvestmentNews
REGULATION AND LEGISLATION MAR 22, 2017
Finra launches '360' initiative to review operations, 'look at ourselves from all perspectives,' says CEO Robert Cook

CEO Robert Cook said self-regulator is seeking ways to improve its interactions with brokerage firms.

By Mark Schoeff Jr.
RETIREMENT PLANNING MAR 22, 2017
Bipartisan bill seeks to ease hurdle for small-business retirement plans

Measure directs Labor and Treasury Departments to allow employers and sole-proprietors participating in similar retirement plans to file a single aggregated Form 5500.

By InvestmentNews