Regulation And Legislation

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Republican tax plan would reduce brackets, slash investment taxes
REGULATION AND LEGISLATION JUN 20, 2016
Republican tax plan would reduce brackets, slash investment taxes

House Republicans rolled out a tax-reform plan on Friday that would reduce the number of individual rates to three and eliminate many deductions.

By Mark Schoeff Jr.
Eight ways to comply with DOL fiduciary rule
REGULATION AND LEGISLATION JUN 20, 2016
Eight ways to comply with DOL fiduciary rule

Labor Department's principles-based rule raising investment advice standards for retirement accounts gives firms flexibility in how to meet compliance.

By Manisha Kimmel
REGULATION AND LEGISLATION JUN 19, 2016
Investment Adviser Association wants RIA clients designated as accredited investors

Interest group argues the fiduciary advisers it represents provide the type of protections intended by the standard.

By Mark Schoeff Jr.
John Oliver lambasts U.S. retirement savings system, supports DOL fiduciary rule
RETIREMENT PLANNING JUN 17, 2016
John Oliver lambasts U.S. retirement savings system, supports DOL fiduciary rule

The star of a late-night HBO comedy show had some biting words for non-fiduciary brokers, high 401(k) fees and active fund management.

By Greg Iacurci
Fiduciary duty finally hits mainstream — and Main Street
REGULATION AND LEGISLATION JUN 17, 2016
Fiduciary duty finally hits mainstream — and Main Street

The battle over the DOL rule is now moving into the court of public opinion. <i><b>Plus: <a href="//www.investmentnews.com/article/20160613/FREE/160619978/john-oliver-lambasts-u-s-retirement-savings-system-supports-dol&quot;" target="&quot;_blank&quot;" rel="noopener noreferrer">Advisers react to comedian John Oliver's biting takedown of brokers and America's retirement system</a>.</b></i>

By Mark Schoeff Jr.
EQUITIES JUN 16, 2016
Collective investment trusts rise in popularity as attractive alternatives to mutual funds

Fiduciaries need to be well versed in these low-cost investment vehicles and how to assess them.

By Blaine F. Aikin
DOL must keep dialogue open on fiduciary rule
LIFE INSURANCE AND ANNUITIES JUN 16, 2016
DOL must keep dialogue open on fiduciary rule

Sudden withdrawal of DOL's Timothy Hauser from a panel at the Insured Retirement Institute conference was a blunder.

By Andrew Leigh
Two more industry groups file lawsuits against the DOL fiduciary rule
LIFE INSURANCE AND ANNUITIES JUN 16, 2016
Two more industry groups file lawsuits against the DOL fiduciary rule

Today's complaints against the Labor Department regulation raising retirement advice standards, bringing the total to five, say it will make it harder for Americans to purchase fixed annuities.

By Tanvi Acharya
RETIREMENT PLANNING JUN 16, 2016
Choosing default investment alternatives for 401(k)s requires close due diligence

Maximizing the potential for positive participant outcomes, and minimizing regulatory and litigation risks, requires close analysis of QDIAs.

By Blaine F. Aikin
Tensions between Sen. Warren and SEC's White boil over at hearing
REGULATION AND LEGISLATION JUN 15, 2016
Tensions between Sen. Warren and SEC's White boil over at hearing

Lawmakers express frustration with Chairwoman Mary Jo White's leadership as they grill her on corporate disclosures and a universal fiduciary rule at Senate hearing.

By Mark Schoeff Jr.
ETF boon under DOL fiduciary rule won't be universal
ETFS JUN 15, 2016
ETF boon under DOL fiduciary rule won't be universal

Some of the more exotic ETF strategies may be difficult to defend as being in a client's best interest.

By Greg Iacurci
REGULATION AND LEGISLATION JUN 15, 2016
Socially-conscious investing gets a boost from the DOL fiduciary rule

Labor Department acknowledges fiduciaries can apply environmental, societal and governance factors when investing

By Blaine F. Aikin
DOL supports ESG fund use in 401(k) plans
RETIREMENT PLANNING JUN 15, 2016
DOL supports ESG fund use in 401(k) plans

New guidance amends old rules that had a &quot;chilling effect&quot; on ESG fund use in ERISA plans.

By Greg Iacurci
State Street execs expect retirement savings law by 2018
RETIREMENT PLANNING JUN 14, 2016
State Street execs expect retirement savings law by 2018

State and federal initiatives are growing dialogue between policymakers, industry and congressmen around the retirement savings gap.

By Greg Iacurci
71% of U.S. households fall below the $100,000 asset threshold for advisers
RIA NEWS JUN 14, 2016
71% of U.S. households fall below the $100,000 asset threshold for advisers

Incorporating robo-advice might make servicing middle market more profitable, Cerulli study says.

By Christine Idzelis
CFP Board halts program to tack donation onto certification dues to fund its new center
REGULATION AND LEGISLATION JUN 14, 2016
CFP Board halts program to tack donation onto certification dues to fund its new center

Industry blogger Michael Kitces questioned the board's decision to automatically extract a $25 donation when certificants pay annual dues.

By Mark Schoeff Jr.
MassMutual settles 401(k) suit with its employees for $31 million
RETIREMENT PLANNING JUN 13, 2016
MassMutual settles 401(k) suit with its employees for $31 million

The insurer joins other firms such as Fidelity Investments and Ameriprise Financial in settling allegations over excessive 401(k) fees in their own company plans.

By Greg Iacurci
Finra failing to protect investors from bad advisers, Senator Elizabeth Warren says
REGULATION AND LEGISLATION JUN 13, 2016
Finra failing to protect investors from bad advisers, Senator Elizabeth Warren says

Letter directs top regulator Richard Ketchum to do more to stop repeat offenders and the firms that hire them.

By Liz Skinner
An original critic, Finra's Ketchum praises improvements in final DOL fiduciary rule
PRACTICE MANAGEMENT JUN 13, 2016
An original critic, Finra's Ketchum praises improvements in final DOL fiduciary rule

Finra's CEO was one of the sharpest critics of the proposed rule, but now he's praising the Labor Department. <i><b>(More: <a href=&quot;http://www.investmentnews.com/section/fiduciary-focus&quot; target=&quot;_blank&quot;>Coverage of the DOL rule from every angle</a>)</i></b>

By Mark Schoeff Jr.
REGULATION AND LEGISLATION JUN 13, 2016
What's on tap in 2016 for adviser regulation?

On tap for 2016: Fiduciary duty comes to fruition?

By Mark Schoeff Jr.