More Advisor Exams? Not Under This SEC Budget, Advocates Say
CFP Board, CFA and others say the SEC's pledge to examine more advisors will be tough to fulfill with only a $29 million increase.
Advisors Brace for More Exams in 2014; DOL ‘Game Changer’ on Horizon
Some industry officials question whether the SEC can deliver on its promise to boost the number of advisor exams in the new year.
Taxing Matters for the New Year
Two lawmakers struck a two-year budget deal in mid-December, just days shy of the budget conference committee’s Dec. 13 deadline to find a way to keep the government running beyond the expiration of the current continuing resolution (CR) on Jan. 15.
New Hire Roundup: Altegris Names Jack Rivkin CIO
Meanwhile, Convergent welcomed Richard Wells and the Senate Finance Committee approved three nominees for federal positions.
Annuities and Social Security: What Retirees Need to Know
Three top retirement planners explain how they're dealing with two of the hottest client topics out there.
Senators Say Retirement Planning Is a Growing Priority
“Too many Americans make decisions by inaction, and they need investment advice,” said Sen. Ben Cardin.
House Passes Bill to Exempt Private Equity Fund Advisors From Registration
President Obama has threatened to veto it, and there is no companion bill in the Senate.
Boom in Demand for 401(k) Advisors
If five skilled 401(k) advisors applied for a job with PSA Financial today, a PSA executive said, she’d hire them on the spot.
17 RIAs Sign Succession Deals via Focus Financial
The advisor rollup firm aims for its 27 partners to work together on transitions and continuity planning.
Treasury Offers Plug for Rollover ‘Leakage’ of Plans
Treasury is gearing up to release guidance that would make it easier for plan sponsors to conduct rollovers to mitigate “leakage.”