Trump’s Tweets Are ‘Official Statements,’ Feds Tell Court
The question has been on the minds of lawyers and legal scholars since the tweet-happy president took office.
Edward Jones Aims High With Bridge Diversity Program
The firm is building on its WINGS program for female advisors, according to Monica Guiseffi.
SEC Finds Widespread Compliance Failures Among Municipal Advisors
A risk alert details “frequently observed deficiencies” in the areas of registration, books and records, and supervision.
House Passes Bill Requiring Safeguards on Trading Data
The CAT system, which tracks market activity, was scheduled to launch soon but exchanges are reportedly seeking a delay.
Undergrad Financial Planning Programs Expect to Grow: TD Ameritrade
For the first survey of its kind, TD Ameritrade reached out to the 105 four-year colleges and universities in the U.S. with financial planning programs.
Jackson Enters Private Wealth and Trust Market: Portfolio Products
Millennium Trust and Paychex team up on a new Simple IRA offering for small businesses.
‘Mini-Rothification’ of 401(k)s Could Be Added to Tax Bill
Retirement industry lobbyist Brian Graff blasted a proposal to apply Roth treatment to all catch-up contributions.
How to Help Clients Manage Their Most Precious Assets
They are collectibles, which about 25% of wealthy investors own, but many haven't had their collections appraised or insured.
SEC’s Top 3 Enforcement Priorities
Stephanie Avakian, co-director of enforcement, said the agency is trying to be “more strategic,” expanding the use of digital analytics in investigations.
4 Ways Senate Tax Bill Hurts Retirement Plans
Capping an important benefit for the highest earners sets a dangerous precedent, says ARA's Brian Graff.