SEC to Conduct ‘IT-Related’ Exams of BDs, Advisors
Examiners will take a targeted look this year at “the quality of the technical infrastructure” of firms’ cybersecurity controls.
SEC Commissioners Rail Against Oppenheimer & Co. Waiver
SEC waiver throws away "valuable enforcement tools" and adopts a policy of "too-big-to-bar," says Rep. Maxine Waters.
5 Hot Retirement Planning Topics for 2015
QLACs and split 401(k) rollovers are just two of the top retirement planning trends that your clients need to be aware of.
Longevity Annuities: Their Time Has Come
New rules open a landscape of possibilities for retirees to draw income in their 80s and beyond, Michael Finke writes.
Paid Tax Preparers Should Be Regulated, Consumer Groups Say
More than half of all tax returns are prepared by paid tax preparers, only 40% of whom are subject to mandatory professional standards, coalition says.
Oppenheimer & Co. Fined $20M Over Penny Stocks, AML Violations
Oppenheimer & Co. agreed Tuesday to pay $10 million to Treasury and $10 million to the SEC for penny-stock related misconduct.
Housing Market May Never Recover
Despite government aid, rock-bottom interest rates and enthusiastic overseas buyers, housing may never spring back to its pre-recession levels.
Obama Signals Support for DOL Fiduciary Redraft
As both sides gird for battle over the DOL measure, expected to be released any day now, the White House appears ready to lend support.
Senators Make Push to Regulate Tax Preparers
The Taxpayer Protection Act of 2015 requires preparers to demonstrate competency in preparing tax returns, claims for refunds and related documents.
Hatch Ratified as Senate Finance Committee Chairman
Hatch says he will push for a tax overhaul and to advance his SAFE Retirement Act.