NFP Rebrands Retirement Unit
NFP says its wholly owned subsidiary 401(k) Advisors Inc. has been renamed NFP Retirement.
FINRA Responds to SIFMA's Latest Critiques of Proposed Data System
Industry trade groups raise fresh concerns with latest plan to collect broker-dealer account data through Comprehensive Automated Risk Data System.
House to Vote on Tax Extender Bill by Thursday
The Tax Increase Prevention Act of 2014 will extend until year-end tax provisions that expired on Dec. 31, 2013.
GOP Blasts User Fees Plan, Tells SEC to Boost Exams Now
Reps. Hensarling and Garrett give SEC Chairwoman White a Dec. 5 deadline to detail how agency will reallocate resources.
6 Facts About Self-Directed IRAs and Their Custodians: NASAA
“Fraud promoters can misrepresent the responsibilities of self-directed IRA custodians to deceive investors,” says NASAA's Beatty.
Smaller Tax Extenders Package on Tap as Shutdown Looks Unlikely: Analysts
Plenty of drama will ensue, but a spending bill, even a short-term one, will prevail in the end, Washington pundits predict.
DOL Fiduciary Redraft Still Coming in January: OMB
An update from the OMB shows the DOL still plans a January release, despite speculation to the contrary.
‘Faulty’ Analysis Could Torpedo an SEC Fiduciary Rule: Advocates
SEC’s analysis on a fiduciary rule must be “thorough and well-reasoned,” as a “faulty analysis could doom or further delay” prospects for reform.
Citigroup to Pay $15M FINRA Fine Over Research Leaks
Analysts' violations included illicitly helping issuers prep for road shows and hosting "idea dinners" discussing stock picks with certain clients.
Top 10 IRA Rollover Mistakes
The Internal Revenue Service gave advisors some much needed guidance regarding the ever-challenging issue of rollovers.