Managed Accounts: Next Up for Reform?
The recent GAO report on 401(k) managed accounts raised some pretty serious questions about their worthiness.
Managed Accounts Could Be Made Safer for 401(k) Investors: GAO
The DOL will consider GAO recommendations to require more disclosures and better guidance for retirement plan sponsors from managed account providers.
FPA Steps Up Lobbying Game With First ‘Advocacy Day’
FPA is pushing for a user-fees bill and trying to "establish relationships" with lawmakers.
Time to Rein In Rollovers?
If you’ve been paying attention over the past year, you’ve noticed that regulators and those in Washington are placing increased scrutiny on IRA rollovers.
FINRA’s ‘Total Warfare’ Against Brokers in Arbitration
Breakaway brokers and pros across the financial industry cite biased panelists, missing hearing records and a 93% win rate for brokerages.
Senator Concerned Over Treasury’s SIFI Report on Asset Managers
Issues have been raised about “the integrity” of the study on systemic importance of asset management firms, says Senate Banking's Crapo.
FINRA’s Hot-Button Exam Issues for 2014
In its annual list of hot exam items, FINRA warned broker-dealers that it would be zeroing in on a host of areas this year.
Best & Worst States for Fiscal Health
The Mercatus Center ranked the states using four measures of short- and long-term financial health.
IRA Rollovers Among Hot Areas for FINRA Scrutiny in 2014
FINRA issued a letter Thursday detailing its top exam priorities for brokers this year.
Vanguard: Boomer Retiree Wave Won’t Crash Market
A Vanguard study offers multiple reasons why stock market folk wisdom about demographics is not borne out by the research.