Displaying 184 results
RETIREMENT PLANS: DOL should give more guidance on loans within plans
A Government Accountability Office report released March 16 said the Labor Department should give employers guidance on securities-lending…
RETIREMENT BENEFITS: DOL to offer guidance on DC plans
The Labor Department is expected to release distribution guidance aimed at plan participants as they exit defined-contribution plans,…
RETIREMENT: Look for automatic-IRA bill
Sen. Jeff Bingaman, D-N.M., plans to introduce a bill shortly that would require employers not offering a retirement…
MUTUAL FUNDS: SEC’s new division head undecided on 12(b)-1 fees
The SEC’s new director of the Division of Investment Management, Eileen Rominger, said she hasn’t decided how to…
SEC: Fiduciary proposal won’t be out until at least year-end
A SEC staff member who coordinated the agency’s study of a universal fiduciary duty for retail investment advice…
DODD-FRANK: Republicans to launch repeal
U.S. Senate Republicans, including Minority Leader Mitch McConnell, recently said they will push legislation that would overturn the…
REGULATION: SEC adviser reports in hands of lawmakers
The SEC recently submitted two reports to Congress that make recommendations affecting regulatory oversight of advisers and fiduciary…
WHITE HOUSE: Budget includes AMT patch, tax deduction limits
The proposed budget released last month by the Obama administration includes several proposals that would affect individual taxpayers.
REGULATION: SEC expected to float pay rules
The SEC is expected to propose new rules on broker pay and broker-dealer executive compensation in April, according…
REGULATION: SEC adviser reports in hands of lawmakers
The SEC last month submitted two reports to Congress that make recommendations affecting regulatory oversight of advisers and…
REGULATION: 12(b)-1 fee rule proposal might change
Many securities industry experts expect the SEC to revamp a proposed rule that would affect mutual fund distribution…
REGULATION: SEC expected to float pay rules
The SEC is expected to propose new rules on broker pay and broker-dealer executive compensation in April, according…
REGULATION: 12(b)-1 fee rule proposal might change
Many securities industry experts expect the SEC to revamp a proposed rule that would affect mutual fund distribution…
REGULATION: SEC expected to float pay rules
The SEC is expected in April to propose new rules on broker pay and broker-dealer executive compensation, according…
SEC: Agency eyes ties between money managers, alternative investments
The SEC is looking into whether asset managers that put money into hedge funds are acting in investors’…
SEC: B-D, adviser study under way
The SEC is working on its study of broker-dealers and investment advisers who provide investment advice to retail investors
TAXES: Expiring tax cuts remain unaddressed
Congress adjourned last week for a lengthy recess without addressing controversial tax law changes
SEC: Commission eyes ties between money managers, alternative investments
The SEC is looking into whether asset managers that put money into hedge funds are acting in investors' best interests, according to published reports
TAXES: Congressional fight brewing over expiring tax cuts
Lawmakers are expected to soon begin debating whether to allow the Bush tax cuts to expire at the end of the year.
INDUSTRY: Study might lead to regulation of planners
The Dodd-Frank Act includes a provision that could lead to more regulation of the financial planning industry.
