Congress Begins to Tackle Retirement
Congress this week is turning its attention to the country’s retirement security crisis, particularly for workers in small and midsize businesses.
How to Join 9,000 Taxpayers With Romney-Sized IRAs
If it seems impossible to amass a fortune in an IRA during your lifetime, think again.
Can This Pension Bailout by the Government Be Avoided?
The Center for Retirement Research estimates that about 35% of multiemployer retirement plans will exhaust their assets over the next 30 years.
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.