Displaying 54 results
Restoring tax break for advice fees faces challenge in pandemic relief negotiations
Trump demands a payroll tax cut; lawmakers may not open gates to smaller provisions
Why living-room lobbying may be here to stay
The pandemic has pushed trade associations to virtual meetings to make their case with lawmakers
Even with SEC guidance, advisers must decide when to disclose PPP loans
The regulator deems ‘material’ federal help to pay personnel who work with clients
Some seek SEC guidance on whether RIAs must disclose COVID-19 loans
Other compliance experts say it’s not necessary unless the firm’s financial problems extend beyond virus stress
3 Questions: Regulatory deadlines with Karen Barr
The CEO of the Investment Adviser Association discusses how hard it will be for advisers to meet Form CRS requirements by June 30
Advice groups push for tax break for fees in next stimulus package
Senate Finance Committee spokesperson says that it's ‘too early to know what the legislation might encompass’
SEC maintains deadline for Reg BI
The major investment-advice rule remains on track despite calls to delay implementation amid the COVID-19 crisis
SEC further extends filing deadline; Finra pushes arb hearings back again
New SEC order eases requirement for advisory firms to explain why they need to delay ADVs
SEC member: Advertising rule overhaul may be too vague
Commissioner Allison Herren Lee expressed concern the changes would cause compliance uncertainty
Adviser trade associations tell SEC to rework proposal to modernize advertising rule
Concerns raised in comment letters include the expanse of the new rule and compliance costs
Trade associations plan to step up political spending in campaign year
The Financial Services Institute and an insurance group are among those varying from their pace in previous cycles
Small brokers push bill to ease audit rules despite challenging political environment
Legislation impacting financial advisers tries to get traction amid impeachment, election
David Tittsworth, longtime leader of Investment Adviser Association, dies
At 2012 congressional hearing, he helped derail bill on Finra oversight of advisers
Advice-sector coalition seeks legislation to expand pass-through deduction to advisers
Brokerage firms and broker and adviser associations ask lawmakers for ‘clarifying legislation’
