No Taxation With Diversification
An exchange fund — aka a stock swap fund — can help clients diversify out of their concentrated holdings without the immediate tax hit.
Research Affiliates Screens for Smart vs. Dumb Dividends
The investment firm says its dividend strategy adds 2% per year by picking "cherries" and screening out "lemons."
Janet Tavakoli: Sequel to Wall Street Horror Show Is Coming
Janet Tavakoli talks to ThinkAdvisor about three banker suicides, why another global meltdown is coming and how JPMorgan CEO Jamie Dimon holds onto power.
Come April, if not earlier, taxes occupy a huge space in your clients’ brains. If you’re providing tax advice, taxes are taking up valuable real estate in your brain, too, if they haven't taken over entirely.
Dishonest Services: SEC’s Fight Against Public Corruption
We often think of laws to combat corruption as anti-bribery and anti-kickback laws. But the SEC is increasingly using securities fraud laws as a tool.
Tax Loss Harvesting: Beware of Unrealistic Expectations
Once an end-of-year tradition, tax loss harvesting can now be done year-round, and more efficiently. Beware of unrealistic expectations, however, especially from robo-advisors.
The SEC Is Broken
A decades-old law and the origin of new commissioners stymies consensus building and rulemaking at the Securities and Exchange Commission.
Facing No Urgent Crises, SEC ‘Spreads Its Wings’
Expect enhanced enforcement efforts in insider trading, financial reporting and pyramid schemes, enforcement chief Ceresney says.
401(k)s With Company Stock Fading Fast
The practice of putting company shares into retirement plans has been waning for some time, but a recent Supreme Court decision could hasten its demise.
Criminal Charges Against Banks Risk Sparking Crisis
Even a threat of a hearing may prompt clients to "lose confidence" in an institution and even "cause a run" on a bank, one expert says.