Legislation

Displaying 1938 results

Topic

Small brokers push bill to ease audit rules despite challenging political environment

Legislation impacting financial advisers tries to get traction amid impeachment, election

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The SECURE Act and open MEPs: Opportunities and threats for advisers

The legislation's green light for open multiple employer plans goes into effect at the start of next year

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David Tittsworth, longtime leader of Investment Adviser Association, dies

At 2012 congressional hearing, he helped derail bill on Finra oversight of advisers

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Advice-sector coalition seeks legislation to expand pass-through deduction to advisers

Brokerage firms and broker and adviser associations ask lawmakers for ‘clarifying legislation’

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SECURE Act opens up planning opportunities for advisers

The measure will have wide-reaching effects on retirement and estate planning for most people

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MetLife fined $10 million over missing pensioners

Insurer's policies for locating annuity customers resulted in errors in accounting for reserves, SEC says.

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Here’s a new $10k keyword important headline

Lorem Ipsum is simply dummy text of the printing and typesetting industry. Lorem Ipsum has been the industry’s standard…

Topic

The risks of giving advice to 401(k) participants

401(k)-plan advisers are well-positioned to provide investment advice to participants, but it could prove legally treacherous.

Topic

House approves bill that would end mandatory arbitration in broker, adviser contracts

Legislation unlikely to get through Senate but sends a message for potential future action.

Topic

Warren’s wealth tax could create compliance challenges

Economists determining how much someone is worth could lead to contentious standoffs between taxpayers and the IRS.

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