JPMorgan Vice Chairman Joins FINRA’s Board
Stephen Cutler, also a former SEC enforcement director, was named to be a new Large-Firm Governor.
Trump’s Plan Aims to Repeal Estate Tax, AMT
Trump needs to iron out some details of his tax plan with House GOP’s plan; with size being the obvious difference, says Tax Foundation.
Trump, GOP Could Torpedo DOL Rule, Dodd-Frank
Trump’s victory means DOL fiduciary rule could be “halted” in early 2017, says financial planning and fiduciary expert Ron Rhoades.
Friedman, Valliere Predict Election Results for President, Congress
Trump will likely not concede to a Clinton victory, which will cause market volatility to “reinsert itself,” says Andy Friedman.
Annuity Group to Appeal DOL Rule Court Decision
NAFA will seek an expedited review of Judge Moss’ decision in the D.C. Circuit Court of Appeals.
DOL Rule Survives Court Challenge by Annuity Group
Washington judge rejects preliminary injunction by the National Association for Fixed Annuities.
CFP Board, ‘Rock the Street’ Launch Career Program for High School Girls
Program is designed to raise awareness of financial planning as a career.
FINRA Nails Cetera, Voya & 6 Others Over VA Sales
Firms hit with $6.2M in fines for supervisory failures related to variable annuity L-shares.
John Bogle: SEC Should ‘Step Up’ and Issue a Fiduciary Rule
Bogle said he couldn’t imagine an advisor acting as a fiduciary to clients on retirement and failing to do so on other investment advice.
Morningstar Names New Tech, Data Chiefs
Chicago-based fund research firm also just added a new floor to house tech team