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House, Senate bills would ban mandatory arbitration in broker, adviser client contracts

December 11, 2019

Recently introduced bills in the House and Senate would ban mandatory arbitration agreements in broker and investment adviser client contracts, marking the first time the legislation has been floated in both chambers. But the bicameral activity...

Biden tax plan targets wealthy and corporate behemoths such as Amazon, Netflix

December 4, 2019

Democratic presidential candidate Joe Biden plans to pay for $3.2 trillion in policy proposals with new and higher taxes on the wealthy and corporations, including a measure targeting companies like Amazon.com Inc. and Netflix Inc. that have...

Social Security's outdated rules

December 4, 2019

A lot has changed since Congress approved major reforms to Social Security rules more than 35 years ago. Life expectancy has increased. Interest rates have declined. And inflation has transformed the taxation of Social Security benefits from...

Warren wealth tax could be stymied by constitutional challenge

December 3, 2019

Democratic presidential candidates Elizabeth Warren and Bernie Sanders want to enact a wealth tax to pay for their large government programs. The biggest barrier may not be Congress, but the Constitution. The Constitution says the federal government...

Pete Buttigieg proposes a 'public' 401(k) program

November 26, 2019

Pete Buttigieg, the mayor of South Bend, Ind., who is currently polling among the top contenders for the Democratic presidential ticket, issued a proposal that would create a federal 401(k)-type plan and require employers to contribute a 3%...

Majority in InvestmentNews reader poll oppose Trump impeachment

November 22, 2019

A majority of InvestmentNews readers who participated in a survey this week oppose the impeachment of President Donald J. Trump. On Thursday, the House likely wrapped up public hearings over allegations that Mr. Trump pressured Ukraine by withholding...

Bunching can help qualify for pass-through

November 9, 2019

Bunching charitable contributions can help business owners qualify for the pass-through deduction. [More:​ Charitable donations fall as result of Republican tax law changes] The law created a tax deduction for owners of pass-through businesses...

Uncharitable giving

November 9, 2019

Charitable giving is undergoing a shift in the wake of the 2017 tax law, and could see yet more changes in the coming months and years as a result of legislation working its way through Congress. [More:​ Tax reform changed the way advisers...

Elizabeth Warren's wealth-tax proposal could spur exodus to alternative assets

November 8, 2019

Senator Elizabeth Warren's proposed wealth tax could be a gift to an industry she has accused of looting Americans — private equity. The Democratic presidential hopeful's plan to fund Medicare for All, denounced by prominent rich people like...

SECURE Act 'frozen' by Trump impeachment inquiry

November 6, 2019

A retirement bill many financial advisers have been eyeing with interest is being held up by impeachment proceedings in Washington, as President Donald J. Trump confronts allegations he abused the power of his office in his dealings with Ukrainian...

Elizabeth Warren health care plan sparks outcry over 401(k) tax hike

November 4, 2019

Presidential hopeful Elizabeth Warren would partially fund her Medicare for All health care proposal — a key part of her campaign platform — through 401(k) savers, sparking a backlash from both industry trade groups and financial advisers....

National auto-IRA program would boost U.S. retirement savings

November 1, 2019

A federal auto-IRA program would significantly reduce the U.S. retirement savings shortfall, especially among young workers, according to a new study. Oregon was the first state to enact an auto-IRA program, in July 2017. The program, OregonSaves,...

Senators introduce bill to ease audit requirements for small brokerages

October 30, 2019

A bipartisan group of senators introduced legislation Wednesday that would ease annual audit requirements for small brokerages. The bill, the Small Business Audit Correction Act, would exempt small, privately held broker-dealers that do not...

An intelligent way to redefine an accredited investor

October 26, 2019

A bill to open up private placements to more Americans by changing the definition of what constitutes an accredited investor was introduced in the House two weeks ago. [More:​ Legislation re-introduced in House to expand pool of accredited...

FPA raises most campaign funds ever at single reception at annual conference

October 18, 2019

The Financial Planning Association reached new heights this week in raising money from its members for its political action committee, an accomplishment the organization hopes will bolster its ability to contribute to lawmakers' 2020 campaigns....

Bill requiring investor testing of SEC disclosures headed toward House approval

October 14, 2019

Legislation that would require the Securities and Exchange Commission to conduct investor testing of disclosures will come up for a vote later this week on the House floor, where it is likely to advance with mostly Democratic backing. The bill,...

Trump to outline new vision for Medicare

October 3, 2019

President Donald J. Trump will outline his vision for the future of Medicare this week, contrasting plans with Democrats in a speech promising to strengthen the program for the elderly and disabled. [More: A new twist on Medicare open enrollment]...

Mixing fiduciary and nonfiduciary standards can be counterproductive

October 3, 2019

In the wake of finalizing the Regulation Best Interest regulatory package, the SEC issued a series of informational videos for investors that purport to explain the differences between brokerage and advisory services. As is true of the regulatory...

House approves bill that would end mandatory arbitration in broker, adviser contracts

September 20, 2019

Advocates for prohibiting mandatory arbitration for investment disputes say House passage of arbitration legislation Friday gives the issue momentum even though the bill faces long odds of becoming law. The House approved the Forced Arbitration...

Warren's wealth tax could create compliance challenges

September 19, 2019

Senator Elizabeth Warren's campaign promise to fund social programs by making America's wealthiest pay a small percentage of their fortune every year could create a costly and difficult compliance system for both the taxpayers and the IRS. [More:...

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