DOL to Hold January Hearing on Credit Suisse’s Retirement Plan Manager Status
DOL to hold public hearing to discuss QPAM status after Credit Suisse pleaded guilty to tax fraud.
Top 9 Investor Threats for 2015: NASAA
State regulators are seeing classic threats to investors “morph into new or altered dangers, many fueled by the Internet,” says NASAA’s president.
IRS Clarifies IRA-to-IRA Rollover Guidance
Meanwhile, Ed Slott said rollovers were a "minefield" of "rules and traps" and named five areas where advisors commonly slip up.
First Cybersecurity ETF Launches
New cybersecurity ETF joins other recent emerging growth technology ETFs investing in cloud computing, social media and robotics.
Are Changes Coming to FINRA Exams?
At SIFMA annual, CEO Richard Ketchum says FINRA is anonymously surveying brokers about its exam program.
SEC’s White to Provide ‘Clarity’ on Her Fiduciary Stance
Where does SEC Chairwoman Mary Jo White stand on a uniform fiduciary rule? No one knows, but that may soon change.
Investors Back More Broker Regulations: FINRA Survey
Nearly three-quarters of investors support more regulations to safeguard them from broker misconduct, an online survey from FINRA found.
IRS Simplifies Filing for Americans in Canadian Retirement Plans
Americans saving in Canadian plans now qualify for automatic tax deferral similar to 401(k) and IRA participants.
Andy Friedman: It Isn’t Over Till the Lame Duck Quacks
Five major issues need to be tackled in the lame-duck session, says Friedman of The Washington Update.
Lobbyists Gear Up to Prod New Congress on User Fees, Retirement, Cybersecurity
The IAA, for one, sees an opportunity to gain Republican support for an SEC user-fees bill.