Displaying 10196 results
CalSavers registers thousands of businesses, will see bump
Numerous other state auto-IRA programs are in development, and the plans should be thinking about drawdown strategies, a report suggests
Fed approves Morgan Stanley acquisition of ETrade
At the same time, Toronto-Dominion Bank’s acquisition of an ownership stake in the Charles Schwab Corp. was also approved
Forget the F-word — RIAs play down fiduciary standard online
A review of 45 fee-only advisers by the Institute for the Fiduciary Standard shows only 14 of them mention the term on their website homepages
SEC gives Morgan Stanley a $5 million slap over short sales
The firm separated hedges into two buckets, which is a Reg SHO no-no
Wells Fargo’s Envestnet data-sharing deal raises murky questions
The agreement opens up access to important tools for consumers, but the FTC is asking for more information about such practices
SEC charges Nebraska hybrid adviser with cherry-picking scheme
Corbin Lambert, who ran his own RIA firm, is also affiliated with Securities America according to the BrokerCheck database
SEC charges RIA with making false statements about its finances
Marietta, Georgia-based Lindner Capital Advisors and its principal were also charged with compliance deficiencies
SEC charges Texas adviser with $1.1 million fraud
Clifton Curtis Sneed Jr. lied about his credential and criminal past when he pitched high-return investments to church members
New Jersey millionaires’ tax could drive rich clients to relocate
The hike Gov. Phil Murphy signed into law moved rates from 8.97% to 10.75% for $1 million-plus earners
Why 401(k) adviser RFPs have not taken off
RPAs should be concerned because without professional guidance, plan sponsors might think that price is the most important criterion when selecting an adviser
Joe Biden will end your retirement plan as you know it
Instead of changing the way taxes on 401(k) plans work, we should build on the bipartisan success of the SECURE Act
JPMorgan pays $920 million to settle spoofing claims
Bank will pay the biggest monetary penalty ever imposed by the CFTC to settle claims it manipulated markets in metals futures and Treasuries
MGM Resorts, Duke Energy face 401(k) lawsuits
The cases are the latest in a busy year for ERISA litigation
SEC warns of ‘credential stuffing’ cyberattacks
Criminals are increasingly gaining access to login credentials by using programs that troll the dark web for usernames and passwords
The SEC’s adoption of e-delivery is well overdue
The commission must consider carefully the interests and needs of all investors
When finance gets political
If you’re being yelled at by acolytes of either extreme, then you’re doing it right
Precious metals dealers charged in $185 million elder fraud scheme
The unregistered advisers allegedly convinced retirees to put savings into overpriced gold and silver bullion
Adviser bilked more than $100,000 from investment partnerships: SEC
The regulator is seeking permanent injunctions against Oscar Haynes Morris Jr. and his RIA Lakeside Capital Partners
Here’s why advisers think Joe Biden’s 401(k) tax plan will spur Roth contributions
The Democratic presidential nominee would convert retirement savings tax deferrals to tax credits
Complying with state senior reporting statutes
Firms must consider the interplay between different reporting laws in each state to maximize their immunity
