Results for "regulation"

Displaying 5,860 results

Sort: Date | Relevance

Author:

Pennsylvania law requires multiple record keepers for 403(b), 457 plans

June 10, 2019

A new law in Pennsylvania will require school districts sponsoring certain retirement plans to use at least four service providers, which advisers say runs counter to best practices and will perpetuate an environment of higher record-keeping...

Trump tariffs have wiped out most families' tax-cut gains

June 7, 2019

President Donald J. Trump's trade wars have already wiped out all but $100 of the average American household's windfall from Mr. Trump's 2017 tax law. And that's just the beginning. That last $100 in tax-cut gains also could soon disappear —...

Brokers face heavy lift to implement Reg BI by next year

June 7, 2019

The clock is ticking for brokers-dealers to modify their operations to comply with advice reform regulations approved earlier this week by the Securities and Exchange Commission. The implementation deadline is June 30, 2020. But those 12 months...

Rollovers and retirement plans: The impact of the SEC's new rules

June 7, 2019

The race is on to help shape the Department of Labor's harmonization with the Securities and Exchange Commission's package of advice rules. The starting gun was fired with the SEC's 3-1 vote on Wednesday to adopt the series of rules that redefine...

Forget the SEC advice rule — broker-dealers more concerned with CFP Board expanded fiduciary standard ​

June 7, 2019

Lawyers across the brokerage industry are busily reading and digesting the Securities and Exchange Commission's investment advice reforms approved this week. But some firms are also gearing up for more changes promulgated by the organization...

Finra bars former LPL rep for non-cooperation

June 7, 2019

The Financial Industry Regulatory Authority Inc. has barred Jason Nelson, formerly a registered representative affiliated with LPL Financial, for declining to take part in an inquiry into his sales practices. (More:​ Finra bars former LPL...

Advisers, experts either hate SEC advice reforms or love them

June 6, 2019

It may take years to determine whether investment advice reform regulations approved by the Securities and Exchange Commission this week will better protect investors from conflicted advice, but that's not stopping advisers and others from offering...

RIA makes fiduciary duty its calling card

June 6, 2019

When the founders of AGW Capital Advisors launching a financial advisory firm in April 2009, in the wake of the financial crisis and at the stock market's low point, they decided to embrace the elephant in the room. "When people lose money,...

Why a lack of diversity may be hurting your 401(k) clients

June 5, 2019

The defining trait of a successful investment committee is the ability to make prudent decisions. The best decisions are typically made as a result of asking critical questions, considering viable alternatives and coming to a consensus on the...

Podcast: The SEC advice rule just hit — here's what advisers need to know today

June 5, 2019

The Securities and Exchange Commission just voted on a package of regulations reforming the standards by which brokers and advisers interact with clients and provide advice. (Webcast: Dive inside the SEC advice rule with InvestmentNews staff)...

SEC final advice rule hearing updates

June 5, 2019

The following is a string of dispatches from the SEC hearing on its final rule on advice standards for brokers and financial advisers. Check back regularly for the latest updates. 12:10 p.m. ET: SEC APPROVES ALL FOUR RULES IN ADVICE REFORM PACKAGE...

SEC releases new details on investment advice reform package

June 5, 2019

The Securities and Exchange Commission released a fact sheet Wednesday on a final package of regulations​ that will make the most significant changes to investment advice standards in more than two decades. The centerpiece of the reform package...

SEC reforms impose new requirements on brokers and advisers, but some argue not enough

June 5, 2019

The Securities and Exchange Commission's long-awaited investment advice reforms, which were approved Wednesday in a 3-1 vote, are virtually unchanged from an original proposal. The reforms set new standards for brokers and slightly change rules...

SEC orders Pennsylvania Ponzi operator to disgorge $1.5 million

June 4, 2019

The Securities and Exchange Commission has obtained a final judgment against James E. Hocker, a Bellefonte, Pa., insurance agent charged with stealing nearly $1.5 million in a Ponzi scheme targeting retail investors. (More: SEC charges insurance...

Finra bars no-show former Ameritas adviser

June 4, 2019

The Financial Industry Regulatory Authority Inc. has barred James Anderson, a former registered representative with Ameritas Investment Corp. for failing to take part in an inquiry looking into charges that he engaged in selling away. (More:​...

Investor advocates slam SEC advice reform on eve of Reg BI vote

June 4, 2019

Investor and consumer advocates slammed a Securities and Exchange Commission investment advice reform package Tuesday, the eve of a final vote on the regulations. The Public Investors Arbitration Bar Association, the Consumer Federation of America...

What to look for in the final SEC advice rule

June 3, 2019

The Securities and Exchange Commission will meet Wednesday to vote on a final investment advice reform package of rules. More than a year after the original proposal was released, the agency is now ready to conclude its work on Regulation Best...

Historical timeline of the SEC advice rule

June 3, 2019

June 1, 2017 SEC seeks comments on conduct standards Less than a month after Securities and Exchange Commission chairman Jay Clayton is sworn in, the agency releases a request for comment on conduct standards for brokers and investment advisers....

What you need to know about professional fiduciaries

June 3, 2019

Typically, individuals engage professional fiduciaries directly and voluntarily, but that isn't always the case. Guardians are court-appointed fiduciaries charged with serving the best interests of persons legally determined to need help caring...

Finra suspends ex-Morgan Stanley broker who made hundreds of CD trades for elderly client

May 31, 2019

A veteran broker formerly with Morgan Stanley was suspended on Friday for 18 months by the Financial Industry Regulatory Authority Inc. over a matter involving hundreds of trades of bank-issued certificates of deposit in the account of an elderly...

« Previous PageNext Page »

1 | 2 | 3 | 4 | 5 | 6 ... 293

X

Hi! Glad you're here and we hope you like all the great work we do here at InvestmentNews. But what we do is expensive and is funded in part by our sponsors. So won't you show our sponsors a little love by whitelisting investmentnews.com? It'll help us continue to serve you.

Yes, show me how to whitelist investmentnews.com

Ad blocker detected. Please whitelist us or give premium a try.