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Here's how a Democratic House will affect financial advisers

November 7, 2018

A Democratic takeover of the House isn't likely to influence the Securities and Exchange Commission's investment advice reform proposal despite one of the leading critics of the SEC's effort being poised to head the committee overseeing the...

Regulatory outlook for 2019 shaping up to be more positive

October 24, 2018

With the Department of Labor fiduciary rule overturned and the SEC's effort to advance a more workable common standard of care for all advisers well under way, the regulatory outlook for our industry is much more positive than it was several...

Taking advantage of opportunity zone investments for tax breaks requires high risk tolerance

October 22, 2018

A federal program designed to encourage capital injections into economically distressed areas could be a good option for investors sitting on a lot of capital gains and possessing high risk tolerance, according to advisers and other experts....

DOL proposes rule to broaden retirement plan coverage

October 22, 2018

The Department of Labor has proposed a rule aimed at boosting the number of small employers that offer retirement plans to their workers, an issue that has dominated national discussions on retirement policy and prompted President Donald J....

Two financial advisers running for Congress

October 19, 2018

Few lawmakers on Capitol Hill have backgrounds in the financial advice sector, but next month's midterm elections could add two more. Voters in Pennsylvania could send the first certified financial planner to Congress. In Maryland, the chief...

Brokerage exec pushes to get audit bill approved before Congress adjourns

October 8, 2018

Many trade associations representing financial advisers have put a major emphasis on their Capitol Hill Days, during which they meet with lawmakers and their aides to raise awareness about the industry and push for legislation. But for one brokerage...

Sweeping retirement legislation is likely coming soon

October 2, 2018

Sweeping retirement legislation appears to be on the way. With more than one-third of private-sector employees lacking access to retirement plans, there is strong bipartisan support for action to make plans more accessible and enhance features...

House approves retirement-savings bill that eases use of annuities in workplace plans

September 27, 2018

Legislation approved by the House of Representatives Thursday would make it easier for employers to include annuities in workplace retirement plans. The provision, which clarifies how firms can satisfy their fiduciary responsibilities when selecting...

New Jersey fiduciary rule could be first of many among states post-DOL

September 26, 2018

New Jersey's push for a fiduciary rule governing brokerage firms in the state could be the first of many similar rules issued by other states following the death of the Department of Labor's fiduciary regulation earlier this year. New Jersey...

CFP Board opposes state regulation of financial planning process

September 24, 2018

The Certified Financial Planner Board of Standards Inc. announced Monday that it opposes state regulation of planners. The organization is staking out its position to try to preempt potential bills from percolating in statehouses as most legislatures...

Insurance executives push House to add annuity provision to tax reform bill

September 20, 2018

Executives from major insurance firms are pushing House leaders to amend tax-reform legislation to encourage the use of annuities in company retirement plans. In a Wednesday letter to House leaders, the corporate chiefs said that they were disappointed...

Lawmakers want to reform rules around RMDs

September 18, 2018

Washington is eyeing an update to rules around required minimum distributions, which could result in big changes for financial advisers' retiree clients in the near future. Two retirement bills winding their way through Congress' legislative...

House committee passes open MEP bill

September 14, 2018

The House Ways and Means Committee passed a retirement savings bill Thursday that seeks to expand access to workplace retirement plans. The Family Savings Act of 2018, introduced by Rep. Mike Kelly, R-Pa., was approved in a 21-14 vote. Perhaps...

Stifel CEO Kruszewski named chairman of American Securities Association

September 12, 2018

Ronald J. Kruszewski, chairman and chief executive of Stifel Financial Corp., was named chairman of the American Securities Association on Wednesday, helming a group that represents regional financial firms in Washington. Mr. Kruszewski will...

Tax Reform 2.0 adds to momentum for open MEPs

September 11, 2018

The House of Representatives is building on recent momentum to enact a popular retirement-security measure seeking to make it easier for small businesses to offer workplace savings plans. Rep. Kevin Brady, R-Texas, chairman of the House Ways...

Trump administration hypocrisy on retirement security

September 6, 2018

Is President Donald J. Trump a hypocrite when it comes to retirement security? His actions certainly suggest so. On Aug. 31, Mr. Trump signed an executive order meant to strengthen retirement security by expanding access to workplace retirement...

Legislation affecting advisers may fall victim to tight Capitol Hill calendar

September 6, 2018

Legislation that would reform how advisers are regulated, increase contribution limits for health savings accounts and strengthen retirement security could fall victim to a tight congressional calendar or partisan divisions this fall. In late...

Elad Roisman confirmed by Senate for SEC seat

September 5, 2018

The Senate confirmed Elad Roisman for a seat on the Securities and Exchange Commission, 85-14, on Wednesday. Mr. Roisman replaces former Republican SEC member Michael Piwowar, who departed the agency in July. The SEC has a full complement of...

House Republicans hit pause button on tax-reform legislation

September 4, 2018

House Republicans had planned to use a second phase of tax cuts to force Democrats into a difficult vote ahead of mid-term elections. Now, party leaders may drop the effort, fearing it could backfire by antagonizing voters in some hotly contested...

Trump touts advantages of capital gains break, but experts aren't convinced

August 31, 2018

President Donald J. Trump says giving investors a tax break on their capital gains would trigger growth — but economists question how much it would juice the economy, especially if he tries to do it without Congress. For the first time since...

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