Investing Implications of Inversions
Should your clients be investing in companies that have recently undergone a corporate inversion?
Hedge Funds Group Wants Accredited Investor Definition Changed
The Hedge Funds Association was quick to weigh in on the news that the SEC's Investor Advisory Committee was planning to recommend that the commission revise its accredited investor definition.
SEC Taking ‘Deep Dive’ at Accredited Investor Definition
Securities and Exchange Commission Chairwoman Mary Jo White says that the agency will take a “deep dive” into how to revise its decades-old accredited investor definition.
Treasury, IRS OK Deferred Income Annuities in 401(k)s
Target date funds that invest in deferred annuities can be used as default investments in 401(k) plans, Treasury and the IRS said Friday.
IRS Boosts Retirement Plan Contributions for 2015
The IRS announced cost-of-living contribution increases for pension and other retirement plans for 2015.
Selling Your Advisory Practice? It Might Be Worth Less Than You Think
Advisors trying to sell their practices "are overly optimistic about the enterprise value of their businesses," Cerulli says.
What a GOP Senate Takeover Means for Dodd-Frank, CFPB, User Fees
AEI's Peter Wallison and others weigh in on what it will mean for advisors if Republicans dominate the midterm elections.
SEC's Bowden: Ethical Standards More Important Than Policy, Procedures
Advisory firms striving for compliance “can’t be effective by merely having policy and procedures, even if tested,” the exam chief said.
10 States With Most Advisors Headquartered
Most investment advisory firms’ main offices are concentrated in relatively few states, with distribution likely driven by access to financial markets, population and net worth.
SEC Brought ‘Record’ 755 Enforcement Actions in 2014
The SEC filed a “record” 755 enforcement actions and obtained orders totaling $4.16 billion in penalties in fiscal 2014, the SEC says.