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When to do a retirement-plan rollover, and when to avoid it

April 26, 2019

During the Department of Labor fiduciary debate, one of the biggest issues was the benefits and drawbacks of rolling 401(k) and other employer-sponsored retirement plans into individual retirement accounts. The government made the argument that...

Finra reveals how it spent $61 million in fine money last year

April 25, 2019

Finra used fine proceeds last year to fund improvements in technology that helped the regulator better monitor markets and examine member firms, according to a report released Thursday. The Financial Industry Regulatory Authority Inc. said it...

Finra launches office to focus on fintech

April 24, 2019

The Financial Industry Regulatory Authority Inc. wants to take a closer look at how its member firms are using technology. The securities industry's self-regulatory agency is forming an Office of Financial Innovation to help the agency identify,...

Finra suspends former star LPL rep who borrowed client cash

April 24, 2019

James E. "Jeb" Bashaw, a former star broker with LPL Financial, was suspended for four months by the Financial Industry Regulatory Authority Inc. on Tuesday for borrowing $200,000 from a customer in 2013 without telling LPL, a violation of industry...

Insurance lobby plans blitz to get retirement bills through Congress quickly

April 24, 2019

Insurance trade associations are set to launch a campaign to gain approval for retirement-savings bills by August to ensure they don't stall again as attention turns to the 2020 election. The American Council of Life Insurers is coordinating...

Higher tax bills following reform surprise clients

April 23, 2019

Investment advisers say their clients were surprised by higher tax bills and lower refunds this year, a shock increased by their expectations of less pain due to tax reform. Under the 2017 tax reform law, marginal tax rates were cut and the...

Finra panel awards $815,000 to National Asset Management client over fiduciary breach

April 22, 2019

A Finra arbitration panel has ordered National Asset Management to pay more than $815,000 in compensatory damages in a case going back to 2015 involving charges of unsuitable trading practices. While claimants in the case, two trusts of William...

IBD report: Another impressive year

April 20, 2019

Despite a stock market decline, the largest independent broker-dealers turned in another stellar year in 2018, with revenue for the top 25 firms participating in an InvestmentNews survey reaching $25.5 billion, a 14.7% increase over 2017. The...

Finra reminds brokerages of a client's right to a straight answer

April 20, 2019

A regulatory notice issued earlier this month by the Financial Industry Regulatory Authority Inc. told member firms that they must "communicate clearly, and without obfuscation," when the brokerage firms or its managers are asked questions by...

When disclosing conflicts of interest, wiggle words like 'may' may not be good enough

April 19, 2019

The Securities and Exchange Commission and journalists have something in common. Both are leery of wiggle words like "may." Editors always prefer that reporters file stories that offer certainty for readers. If they write that something "may"...

Trump's rules for opportunity zones satisfy investors' wish lists

April 18, 2019

There's plenty of enthusiasm for new U.S. tax breaks for investing in low-income communities designated as opportunity zones. But many people have delayed spending because of uncertainty about how the incentives will work. The Trump administration...

SEC cracks down on share-class disclosure after self-reporting initiative ends

April 18, 2019

The Securities and Exchange Commission's recent settlement of more than $125 million with 79 investment firms that failed to disclose payments they received for recommending certain mutual funds is not the end of the agency's effort on the issue....

Massachusetts charges adviser with concealing information in marijuana deals

April 17, 2019

Massachusetts securities regulators have charged a state-licensed investment adviser representative with various forms of misconduct in an investment scheme involving medical marijuana ventures. (More:​ Advisers struggle with the highs and...

Fate of New Jersey fiduciary standard could come down to politics, court

April 16, 2019

A New Jersey proposal to raise investment advice standards is benefitting from strong political momentum at the outset, which may protect it from financial industry opposition. On Monday, the state's Securities Bureau released a proposal for...

Trump administration puts potential new hurdle in path of Regulation Best Interest

April 15, 2019

A new regulatory requirement could slow down the Securities and Exchange Commission's investment advice reform proposal and crimp the agency's ability to issue guidance on other rules. Last week, the Trump administration's Office of Management...

Most Americans got a tax cut and didn't notice

April 15, 2019

Republicans passed a sweeping tax cut for two-thirds of Americans in 2017, saying it would pay for itself and the American public would thank them. Now, as Americans finish filing their taxes to the IRS for the first time under the new system,...

New Jersey releases rule to impose fiduciary duty on brokers

April 15, 2019

New Jersey brokers would have to meet a higher investment advice standard under a rule proposed Monday. The measure would impose fiduciary duty on brokers, subjecting them to a higher requirement than the current suitability standard they must...

Sales of unregistered securities are a growing problem that's harming investors — and the industry

April 13, 2019

To an investor, Castleberry Financial Services Group's promise of up to a 12.2% annual yield on the alternative investment fund it was selling might have seemed awfully tempting. So might the assurance that your principal would be insured and...

SEC cracks down on ETF names that could be misleading

April 12, 2019

Exchange-traded funds looking to tap some of the hottest investment trends are going undercover. A growing number of thematic ETFs are changing their identities before they even start trading to conform to a decades-old rule that dictates what...

Woodbridge Group execs charged with criminal fraud in Ponzi scheme

April 12, 2019

The former head of Woodbridge Group of Companies and two former directors were arrested Thursday on federal criminal charges for their roles in a massive Ponzi scheme that the SEC claims defrauded up to 8,400 investors, many of them senior citizens....

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