Regulation, Legal & Compliance

Displaying 10946 results
Trump touts advantages of capital gains break, but experts aren't convinced
REGULATION, LEGAL & COMPLIANCE AUG 31, 2018
Trump touts advantages of capital gains break, but experts aren't convinced

The president argues that the tax break would boost economic growth.

By Bloomberg
SEC files fraud charges against firm for working with barred broker
REGULATION, LEGAL & COMPLIANCE AUG 31, 2018
SEC files fraud charges against firm for working with barred broker

Walter Grenda allegedly sneaked back into industry through his son's firm

By Mark Schoeff Jr.
Advisers back  Trump's directive to ease distribution rules for retirement accounts
RETIREMENT PLANNING AUG 31, 2018
Advisers back Trump's directive to ease distribution rules for retirement accounts

They also support another part of the president's order that would help small employers offer retirement plans to workers.

By Mark Schoeff Jr.
Here's what could happen to your taxes if Democrats regain control of Congress
RETIREMENT PLANNING AUG 30, 2018
Here's what could happen to your taxes if Democrats regain control of Congress

Boosting the corporate tax rate, eliminating carried interest and modifying the pass-through provision are among the possibilities Democrats are discussing.

By Bloomberg
Merrill Lynch reverses policy on banning IRA commissions following death of DOL fiduciary rule
WIREHOUSES AUG 30, 2018
Merrill Lynch reverses policy on banning IRA commissions following death of DOL fiduciary rule

Wirehouse cites client demand and a new regulatory environment in deciding to abandon its pioneering stance on commission IRAs.

By Greg Iacurci
Nudging Congress toward Social Security reform
RETIREMENT PLANNING AUG 30, 2018
Nudging Congress toward Social Security reform

Grassroots coalition encourages the public to demand improved retirement security.

By Mary Beth Franklin
Mychal Kendricks, Cleveland Browns linebacker, charged with insider trading
REGULATION, LEGAL & COMPLIANCE AUG 29, 2018
Mychal Kendricks, Cleveland Browns linebacker, charged with insider trading

Mychal Kendricks has admitted buying shares of companies he was told were about to be acquired and then selling them at a profit.

By Mark Schoeff Jr.
Crypto craze puts retirement savings at risk
RETIREMENT PLANNING AUG 29, 2018
Crypto craze puts retirement savings at risk

Regulators and Congress should protect investors by slamming the door shut on efforts to bring cryptocurrency into the world of retirement savings.

By Tim Chen
Using Social Security to fund paid parental leave is not the way to go
RETIREMENT PLANNING AUG 29, 2018
Using Social Security to fund paid parental leave is not the way to go

Marco Rubio's proposed bill would increase spending.

By Bloomberg
Advisers in a pickle over low-yielding cash sweep accounts
MUTUAL FUNDS AUG 29, 2018
Advisers in a pickle over low-yielding cash sweep accounts

As interest rates climb, advisers are forced to rethink the cash management fund links to brokerages and custodians.

By Jeff Benjamin
SEC Regulation Best Interest an important step for our industry
REGULATION, LEGAL & COMPLIANCE AUG 29, 2018
SEC Regulation Best Interest an important step for our industry

The agency's approach allows firms to comply with new guidelines while while tailoring their practices to their own businesses and clients.

By Dale Brown
State regulators investigating more than 200 ICOs and cryptocurrency investments
REGULATION, LEGAL & COMPLIANCE AUG 28, 2018
State regulators investigating more than 200 ICOs and cryptocurrency investments

NASAA's Operation Cryptosweep has resulted in 47 enforcement actions since its launch in May.

By Sarah Min
LPL lets more advisers do fiduciary 401(k) business
RETIREMENT PLANNING AUG 28, 2018
LPL lets more advisers do fiduciary 401(k) business

Strategy is an extension of efforts that began due to the DOL fiduciary rule, observers say.

By Greg Iacurci
Kovack re-elected to Finra board
REGULATION, LEGAL & COMPLIANCE AUG 28, 2018
Kovack re-elected to Finra board

Paige Pierce wins small-firm seat, Janney Montgomery Scott CEO Timothy Scheve takes large-firm seat

By Mark Schoeff Jr.
SEC orders new enforcement hearings as a result of Supreme Court ruling
REGULATION, LEGAL & COMPLIANCE AUG 28, 2018
SEC orders new enforcement hearings as a result of Supreme Court ruling

Agency orders 'do-overs' following Supreme Court ruling on appointment of in-house judges

By Mark Schoeff Jr.
New York, Connecticut taxpayers look to Plan B options to avoid SALT
REGULATION, LEGAL & COMPLIANCE AUG 27, 2018
New York, Connecticut taxpayers look to Plan B options to avoid SALT

A few potential back-up plans exist, but there's a lot you should know before forging ahead

By Bloomberg
Senate Banking Committee approves SEC nominee Elad Roisman
REGULATION, LEGAL & COMPLIANCE AUG 23, 2018
Senate Banking Committee approves SEC nominee Elad Roisman

If confirmed by full Senate, Republican would restore commission to full strength until December.

By Mark Schoeff Jr.
Fund industry limits C-share investing, cutting 12b-1 fee income for advisers
MUTUAL FUNDS AUG 23, 2018
Fund industry limits C-share investing, cutting 12b-1 fee income for advisers

Growing pressure on fees and disclosures drives fund industry limits on C-share investing.

By Jeff Benjamin
Finra arbitrators order Pennsylvania brokerage to pay client $1 million in damages
ALTERNATIVES AUG 23, 2018
Finra arbitrators order Pennsylvania brokerage to pay client $1 million in damages

James E. Grimes accused Trustmont Financial of breaching fiduciary duty in a case related to two annuity exchanges and a private REIT.

By Sarah Min
Here's what could happen to your taxes if Democrats regain control of Congress
REGULATION, LEGAL & COMPLIANCE AUG 23, 2018
Here's what could happen to your taxes if Democrats regain control of Congress

Boosting the corporate tax rate, eliminating carried interest and modifying the pass-through provision are among the possibilities Democrats are discussing.

By Bloomberg