Results for "legislation"

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Maryland bill would impose fiduciary duty on brokers, insurance reps

February 7, 2019

Legislation introduced this week by Maryland state lawmakers would raise investment advice standards for brokers and insurance representatives — marking an expansion of coverage compared to a Securities and Exchange Commission proposal. The...

Retirement savings bill re-introduced in House with bipartisan backing

February 6, 2019

Legislation that would help small businesses offer retirement plans to their employees and ease the use of annuities in them was re-introduced in the House on Wednesday with bipartisan backing. The Retirement Enhancement and Savings Act contains...

Trump State of the Union: What advisers want to hear

February 5, 2019

Financial advisers want President Donald J. Trump to put aside divisive political rhetoric and give a positive message about the economy and solutions to pressing problems during his address to Congress tonight. In his State of the Union address,...

Wealth tax proposed by Elizabeth Warren could be illegal

January 31, 2019

Sen. Elizabeth Warren set the financial advice industry abuzz last week when the presidential hopeful proposed a "wealth tax" on ultra-rich Americans.​ Her proposal would levy a 2% annual tax on each dollar of a household's net worth above...

How FSI will work to protect advisers and investors at the state level in 2019

January 31, 2019

With daily headlines focused on hyperpartisan gridlock and dysfunction in Washington, D.C., legislative threats to the independent financial services industry would seem to be on the back burner for the time being. As members of the Financial...

Sanders proposes estate tax of up to 77% on billionaires

January 31, 2019

Independent Sen. Bernie Sanders is proposing to expand the estate tax on wealthy Americans, including a rate of up to 77% on the value of estates above $1 billion. The Vermont senator, who is considering a second run for president, said in a...

Maxine Waters may raise profile of diversity, but legislating solution will be difficult

January 30, 2019

A new congressional committee devoted to increasing the number of women and people of color in the financial industry will raise the profile of the issue, but a solution is more likely to come from firms than from Washington, according to diversity...

Estate tax pretty much 'optional,' but GOP still trying to kill it

January 29, 2019

The estate tax isn't relevant to the vast majority of advisers, their clients or America at large. And estate planners say the tax is largely optional for the wealthy, since there are plenty of ways to dilute it greatly or avoid it outright....

401(k) plans boost company match due to tax reform, labor market

January 28, 2019

Tax savings that businesses have realized as a result of tax reform and the competitive labor market are leading employers to increase the amount of money they give employees in the form of a 401(k) match, according to retirement plan advisers...

Warren proposes tax on assets of wealthiest Americans

January 25, 2019

Democratic presidential hopeful Elizabeth Warren has proposed a wealth tax on Americans worth more than $50 million, a pitch aimed at satisfying the eagerness of progressive voters to confront income inequality. "The top 0.1% of American families...

Final pass-through rules deliver good and bad news for advisers

January 22, 2019

The Treasury Department's new package of rules around the pass-through tax deduction is good news for financial advisers whose clients own rental property or invest in mutual funds that hold real estate investment trusts, according to tax experts....

Fiduciary regulations continue to advance in states as SEC mulls national standard

January 18, 2019

A New York state lawmaker is optimistic about the chances this year for his fiduciary-disclosure bill, while a Maryland senator is poised to introduce a measure that would raise standards there. Adding to the mix is the Nevada Securities Division,...

Maxine Waters takes helm of House Financial Services Committee, makes diversity a priority

January 16, 2019

House Financial Services Committee chairwoman Maxine Waters, D-Calif., announced Wednesday she is creating the panel's first subcommittee on diversity and inclusion. The goal is to boost the number of women and minorities working in the financial...

New York City proposes its own auto-retirement program

January 14, 2019

New York City plans to launch its own retirement plan. In a speech last week, New York City Mayor Bill de Blasio proposed a number of new programs to combat income inequality. One idea is the Retirement Security Fund, a city-sponsored retirement...

Adviser advocates seek tax breaks for advisory fees, business revenue

January 9, 2019

Adviser advocates are playing a long game in trying to secure tax changes that would benefit investors and the advisers who serve them. Charles Schwab & Co. Inc. and the Investment Adviser Association are beginning the new Congress where they...

Advisers help federal employees financially manage the shutdown

January 7, 2019

Federal-employee clients of financial advisers in the national capital area are taking the federal government shutdown in stride, even though they're due to miss their first paychecks this week. Others, however, will struggle without the immediate...

Adviser lobbying groups shake up donation levels to politicians

January 4, 2019

One of the best ways for trade associations representing financial advisers to open doors on Capitol Hill is by contributing to lawmakers' campaigns. Two lobbying groups in the advice industry ramped up political action committee spending during...

Shutdown likely to last past Christmas as wall fight drags on

December 24, 2018

The U.S. government shutdown has entered a third day. It's likely to last at least until late in the week, and maybe into January, as the White House and Democrats remain at an impasse over President Donald Trump's demand for billions of dollars...

Time runs out on bills to ease small broker audits, highlight regulatory impact on small advisers

December 20, 2018

As the clock ticks down on the lame-duck session of Congress, time has run out for legislation that would affect investment small brokers and investment advisers. Although a bill to prevent a partial shutdown of the federal government on Friday...

Retirement savings legislation dies in lame-duck Congress

December 19, 2018

Legislation that would expand the number of company-sponsored retirement plans and increase the use of annuities within them will likely die on Thursday. Proponents of the bill, which was introduced after Thanksgiving, were hoping it would be...

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