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Investment Company Act turns 80
The bill gave rise to fund investing — the most powerful form of financial intermediation for individual Americans
State regulators disrupt more than 200 pandemic-related frauds
The worst may be yet to come as another wave of scams is expected regarding potential vaccines, the task force announced
SEC share-class crackdown could spell the end for 12b-1 fees
The latest case has some experts wondering if any level of disclosure will suffice
Why the payroll tax holiday is a bad idea
Squeezing Social Security’s funding source could accelerate the depletion of the trust fund
Here’s how COVID-19 could test the value of ESOPs
Employee ownership plans correlate with higher income and better retention, and companies with such plans are likely doing better than others right now, according to an ESOP group
New DOL advice proposal is a step forward
Two areas for further improvement are the measure's disclosure proposal and its stance on rollovers
One PEP for all clients: Retirement Income Summit day four
The Secure Act provides numerous opportunities for advisers, and annuities are part of that, panelists said
DOL rule requires lifetime income estimates on retirement plan statements
The regulation would implement a SECURE Act provision intended to help savers assess their nest eggs
Watch that RMD deadline, and other advice from the Retirement Income Summit
Despite the relief provided by the CARES Act, people are more worried about retirement than ever, and their concept of it is changing, panelists said
Democrats oppose DOL investment advice rules as convention begins
Vice presidential pick Kamala Harris signed a comment letter seeking withdrawal of the measure in August
SEC orders firm to pay for share-class disclosure failures
Fresno, California-based SCF Investment Advisors took 12b-1 fees from mutual funds and revenue sharing from money market funds
No plan to end payroll tax permanently, White House says
Trump has suggested getting rid of the taxes several times recently, a move that threatens the solvency of Social Security and Medicare
McKinsey settles 401(k) suit for $39.5 million
Huntington Bancshares also settles a retirement plan lawsuit, while American Airlines sees a surprise win
Advisers frustrated with Washington stalemate over pandemic relief
They urge getting money into the hands of Americans to boost consumer spending
SEC highlights compliance risks amplified by pandemic
The regulator wants firms to beef up supervision of remote workers and increase controls on fees and expenses
Merrill puts trainees’ sales efforts on hold
Calls by adviser newbies were violating compliance rules, report says
SEC charges head of defunct California RIA with fraud
The agency says Brendan Ross manipulated data to show higher fund returns
SEC updates info for dually registered advisers on Reg BI
New frequently asked questions tackle account decisions and the use of titles
Former LPL rep fined $5,000 over false signatures
John McConkie signed documents for his supervisor
Trump keeps $1.2 trillion of student-loan debt on ice
The measure would postpone both repayments and the accumulation of interest through year-end on loans held by the federal government