1. Articles in category: SEC News

    1-24 of 2012 1 2 3 4 ... 82 83 84 »
    1. The Securities Regulators All Have Senior-itis. Maybe For Good Reason.

      The securities industry’s concern over the aging of the U.S. population, specifically, aging investors, has, apparently, reached a fever pitch. Yesterday in New York, SIFMA hosted its “Senior Investor Protection Conference – One Year Later: FINRA Rules 2165 and 4512,” and, for a securities conference, it received pretty extensive news coverage.

      Read Full Article
    2. Democrats float plan to increase Social Security benefits

      Democrats float plan to increase Social Security benefits
      By Mark Huffman of ConsumerAffairs
      February 4, 2019

      After years of worrying about Social Securitys long-term solvency, Democrats in Congress have advanced a plan to increase benefits for the retirement program.

      Democrats in the House and Senate have introduced a bill, the Social Security 2100 Act, that would increase the Social Security monthly payment by about 2 percent. The reasoning behind the measure is seniors increased use of medical services.

      Read Full Article
    3. Are you overpaying your financial adviser?

      Are you overpaying your financial adviser?

      Investment management can cost as little as 0.25% of a portfolio’s value each year. Yet many people still pay 1%, or even more, for financial advice.

      Whether they’re getting a good deal depends on exactly what they get in exchange. Spoiler alert: Many should be getting a lot more, or paying a lot less.

      Financial advice can encompass a lot of different services, which fall primarily into two camps:

      Read Full Article
    4. Wall Street braces for MiFID-style rules in the U.S.

      The firewall that Wall Street hoped would protect its U.S. stock and bond analysts from tough European rules is starting to crack.

      At issue are EU regulations that took effect last year that forced banks to start charging clients separately for trading and research, rather than bundling the services into one bill. In October 2017, U.S. brokers scored a major win when the SEC issued a legal reprieve that at least temporarily kept the rules from spreading to America.

      Read Full Article
    5. Why Aren’t Hedge Funds Required to Fight Money Laundering?

      Why Aren’t Hedge Funds Required to Fight Money Laundering?

      by Heather Vogell

      For many years, the federal government has required banks, brokerages and even casinos to take steps to stop customers from using them to clean dirty money.

      Yet one major part of the financial system has remained stubbornly exempt, despite experts’ repeated warnings that it is vulnerable to criminal manipulation. Investment companies such as hedge funds and private equity firms have escaped multiple efforts to subject them to rules meant to combat money laundering.

      Read Full Article
    6. The government shutdown is disrupting retirement plans for some federal employees

      Federal employees who retire during the partial government shutdown would have to wait a longer time to take retirement distributions from their Thrift Savings Plan, according to this article from the Washington Post. That's because the employees who are supposed to work on their papers are furloughed.

      Read Full Article
    7. How is the Government Shutdown Affecting Plan Advisors?

      How is the Government Shutdown Affecting Plan Advisors?

      The federal government shutdown, now entering its 14th day with no end in sight, is beginning to affect investment and retirement plan advisors who interact with the SEC and IRS.

      Some may assume the shutdown is affecting all government agencies, but that is not the case. In fact, many agencies are fully funded for fiscal year 2019, which runs through Sept. 30. For example, the Labor Department – including the Employee Benefits Security Administration – is fully funded and operational.

      Read Full Article
    1-24 of 2012 1 2 3 4 ... 82 83 84 »
  1. Categories

    1. Members Only:

      Federal Regulation, State Regulation, Vulnerable Adults
    2. General:

      Business Continuity & Succession, Business Development, Education Funding, Financial Planning, FINRA News, Information Technology, Insurance and Risk, Investment Management, Life Insurance, Long Term Care, Organization, Retirement Planning, SEC News, Taxation, Vulnerable Adults, work/life balance
  2. Popular Articles