Results for "regulation"

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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...

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...

Working in Golden Years Has Its Rewards – And Risks

November 8, 2019

Roger Verboon still remembers one of his first assignments as the practice management consultant in charge of advisor continuity and succession planning. An 85-year-old advisor in California was displaying warning signs of diminished mental...

As Ladenburg Thalmann explores sale, one of its B-Ds is hit with GPB investor complaints

November 8, 2019

Ladenburg Thalmann Financial Services Inc. has been hit with fallout from GPB Capital Holdings. Ladenburg reported Friday morning that since July, one of its broker-dealers has been named in six customer arbitration complaints seeking $1.65...

IRS raises 2020 401(k) contribution limit to $19,500

November 6, 2019

On Wednesday, the Internal Revenue Service announced cost-of-living adjustments for 2020 to its limits on contributions to retirement plans. The agency's limit on annual employee contributions to 401(k)s, 403(b)s, most 457 plans and the federal...

Cybersecurity is a ticking time bomb for 401(k)s

November 6, 2019

In a recent call with a 15,000-employee plan sponsor client that had implemented automatic enrollment, Kathleen Kelly, managing director at Compass Financial Partners, discussed their concerns that a majority of the plan participants had not...

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...

Court upholds $3 million arbitration award against Spire Securities

November 6, 2019

A New York federal court has upheld a $3 million arbitration award holding Spire Securities responsible for failing to supervise one of its brokers who operated a Ponzi scheme. The broker, Patrick Evans Churchville, sold investments through...

SEC proposes allowing advisers to use testimonials, endorsements in ads

November 5, 2019

The Securities and Exchange Commission has proposed revising its advertising rules for investment advisers for the first time in nearly 60 years, allowing them to post testimonials, endorsements and third-party ratings on social media. Under...

Ex-Merrill Lynch broker wins $3.75 million arbitration award for defamation

November 5, 2019

A former Merrill Lynch broker won a $3.75 million Finra arbitration award against the firm over the way it described his departure. Jeffrey T. Rathmanner worked in Merrill's St. Paul, Minn., office from 1995 until April 2017, when he was fired...

Wife of barred broker helped him produce $6 million in commissions: Finra

November 4, 2019

The Financial Industry Regulatory Authority Inc. has suspended the wife of a broker who was barred from the securities industry 20 years ago, alleging that the wife, along with a second broker who worked as a supervisor, "enabled" the barred...

SEC bars former LPL broker who pleaded guilty to $4.9 million Ponzi

November 4, 2019

The Securities and Exchange Commission Friday barred from the securities industry a former LPL Financial broker who operated a Ponzi scheme that preyed on elderly clients. The agency's action came after James T. Booth pleaded guilty Oct. 22...

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....

Supreme Court to consider challenge to SEC disgorgement powers

November 1, 2019

The Supreme Court agreed to consider stripping the Securities and Exchange Commission of its power to recoup illegal profits from wrongdoers, taking up a challenge to one of the agency's most potent legal weapons. The appeal by Charles Liu and...

Texas RIA orders $366,218 refill to coffee shop investors

November 1, 2019

The Texas Securities Commissioner has ordered Jason Hyson LeBlanc, currently an investment adviser representative with Vere Global Wealth Management, to repay $366,218 to 14 individuals who bought promissory notes he sold to fund a Fort Bend...

States considering rules for how advisers charge subscription fees

November 1, 2019

Correction: The following article has been corrected to clarify the source of Michael Kitces' fee comparison of advisers who charge based on assets under management and the caps he said some states put on subscription fees. State securities...

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,...

Finra slaps $20,000 fine on former JMP Securities analyst

October 31, 2019

The Financial Industry Regulatory Authority Inc. has suspended former JMP Securities analyst Michael King Jr. for 14 months and fined him $20,000 for writing research reports on a company with which he was engaged in employment discussions....

Is this the moment when financial planning becomes a profession?

October 31, 2019

Fifty years​ ago, a small group of 13 financial professionals came together and put forth the concept of financial planning, a way of delivering financial advice and guidance to the public in a comprehensive manner across multiple financial...

Colorado charges broker-dealer with failing to supervise reps working in South Carolina

October 30, 2019

Centaurus Financial Inc., an independent broker-dealer, faces losing its license in Colorado because of allegations it failed to supervise adequately the sales of structured certificates of deposit by two of its brokers. The brokers at the center...

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