GOP presidential nominee Mitt Romney and his running mate, Wisconsin Rep. Paul Ryan, seem determined to avoid talking about details of their tax plan during the fall campaign, creating a vacuum that their opponents are happy to fill with attacks and that retirement-savings advocates can fill with worry. Retirement-savings tax deferrals also could be on the chopping block to pay for the GOP ticket's goal of reducing tax rates across-the-board.
SEC scheduled to meet this week with advocates including Bogle
Signing declaration supporting universal standard of care
Regulator claims "Buckets of Money" strategy not backtested
Finra claims a consultant's employees took tests to help prep clients on what would be asked in later exams.
Three former brokers at an Atlanta investment firm churned client accounts and racked up $845,000 in commissions and fees for themselves and the brokerage while those customers lost $2.7 million, regulators said.
Association wants to make it easier for brokers to clean up their official records
But commission murky on verification of 'accredited investors'; comment period caused friction
Will delay decision on plan to allow public advertising of private placements
