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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...

New bill links 401(k) matches to student loan payments

December 19, 2018

A bill introduced in the Senate would allow employers to pair workers' student loan payments with 401(k) savings. Ron Wyden, D-Ore., the ranking member on the Senate Finance Committee, sponsored legislation on Tuesday that would give plan sponsors...

Oregon will help other states launch own auto-IRA programs

December 17, 2018

Oregon, which recently launched a statewide program to ensure all private-sector workers have access to an employer-based retirement plan, will partner with other states that want to adopt a similar framework, with the aim of easing the launch...

Top 3 planning moves for advisers under new tax law

December 13, 2018

The 2017 tax overhaul has led financial advisers and other tax advisers to substantially restructure clients' financial plans, primarily in three areas: charitable giving, business structure and estate plans, according to a new survey. A poll...

Private-equity firms want SEC to loosen rules on business development companies

December 12, 2018

Apollo Global Management and Ares Management are among the private-equity titans that scored a victory earlier this year when they persuaded Congress to let lending companies they control ramp up risk. Now, as lawmakers engage in frantic negotiations...

3 big reasons to do a Roth conversion right now

December 10, 2018

Lower tax rates, a slumping stock market and the time of year offer pristine conditions for financial advisers to do a Roth conversion with clients. Roth conversions allow clients to convert all or a portion of their traditional, pretax individual...

Richard Neal: the new face driving retirement policy in Washington

December 6, 2018

Retirement policy will have a new face in Washington next year, and that could mean major changes to the 401(k) industry. Rep. Richard Neal, D-Mass., will become chairman of the House Ways and Means Committee when Democrats take control of the...

Tax law dilutes this important break after year-end

November 30, 2018

The 2017 tax law has made planning around medical expenses by the end of this year imperative for financial advisers. The law, which overhauled the tax code for individuals and corporations, made it easier for Americans to claim a deduction...

Congress tries to jam through retirement legislation by year-end

November 27, 2018

Congress is making one final push to get retirement legislation passed by the end of the year, with provisions promoting more 401(k) plan formation and greater use of annuities hanging in the balance. Kevin Brady, chairman of the House Ways...

Taking stock of the new political landscape in Washington

November 19, 2018

Votes in a number of races are still being counted, but it's already clear that the next Congress will present both challenges and opportunities for our profession. Given the slim majorities in each chamber, governing effectively on a consistent...

Advisers draw inspiration from women who ran for Congress

November 17, 2018

A record number of women ran for Congress in the midterm elections, a breakthrough that could inspire female financial advisers to make similar progress in their own male-dominated profession. Although the women on the ballot were waging political...

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...

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