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.
LTC Report: Looking for a Cure
Obamacare was originally supposed to include a provision for affordable LTC through the CLASS Act, which was dropped.
ERISA Attorneys Rip Yale Professor’s Fiduciary Threats
Fred Reish and his team at Drinker Biddle say Yale professor Ayers’ fiduciary study has a number of “material limitations.”
GAO Suggests Requiring RIA Advice for Accredited Investors
A GAO study recommends that the SEC require more liquid investments in private offerings — or the use of an RIA for guidance — as preferred means of protecting accredited investors.