Fighting Financial Exploitation of Seniors
Senators, SEC Investor Advocate Rick Fleming and NASAA ponder whether new laws and programs could make it easier to report financial abuse.
Senators Introduce Retirement Security Act Focused on Small Business
“This Congress could make real strides in expanding opportunities for small businesses to provide retirement programs,” says ASPPA's Miller.
Investors Can’t Take Security for Granted as Chaos, Competition Intensify
Robert Kaplan, Inside ETFs’ most popular speaker last year, weaves a true tale of growing global danger in the Mideast and South China Sea.
10 Best States Ranked by Pension Promises
Even the soundest state pension plan is just two-thirds of the way toward accumulating assets sufficient to pay its retiree obligations.
Lawmakers Air Concerns About DOL Fiduciary Redraft
Lawmakers air concerns about the upcoming DOL fiduciary redraft release, lay out plans to ensure next Congress keeps the current retirement planning tax incentives intact
Top 15 States With Best 401(k) Participation Rates
Nationwide, only 71.6% of participants have contributed to their workplace 401(k) plan in the most recent plan year, a new Judy Diamond study says.
Beatty Begins 1-Year Term as NASAA President
William Beatty will focus on senior financial abuse and new electronic state filing of Form D for Rule 506 offerings.
Most State-Registered Advisors Have Tech, Cybersecurity Policies: NASAA
Though less than 5% of small and midsize firms said they had a cybersecurity incident, two-thirds said they had cybersecurity policies in place.
9 Worst States for 401(k) Plans
While any company can design a better plan no matter the state it's in, the trends are nonetheless telling.
Battered Morgan Stanley Breakaway Advisor Fights Back
Breakaway advisor James Eastman tells ThinkAdvisor how Morgan Stanley read his email and “painted” his compliance record when he tried to leave.