SEC Enforcement: Traders Used Wives’ Information to Make Insider Trades
Also in enforcement, Transamerica Financial Advisors was fined by the SEC for improperly calculating advisory fees and overcharging clients.
Senate Finance Sets Thursday to Debate Tax Breaks
The Senate Finance Committee will mark up a bill Thursday on a set of tax breaks that have expired or will expire at year-end.
What’s Your State’s Dividend Income Tax?
Some states collect no extra tax on top of the federal dividend income tax, while some add an additional levy as high as 13.3%.
New Hire Roundup: Fidelity Charitable Names Danforth President
Also, Ron Carson was named to the board of trustees of the American College, and the Withers Consulting Group welcomed David Burleigh.
Advisors ‘Following the Money’ to New, Underserved Markets
The best new markets for advisors are in increasingly far-flung places, away from traditional financial hubs like New York and Los Angeles.
Why the Fed's Policies Are Increasingly Ineffective
The central bank took monetary expansion too far.
Raymond James Adds $100M Team; $84M Rep Returns to Securities America
The team joins from Wells Fargo, while the advisor comes back after departing from Valmark Securities.
Changes Afoot in Washington Well Ahead of Midterm Elections
"It’s virtually certain that Republicans will retain control of the House — and now are within striking distance of taking the Senate,” says strategist Valliere.
Would You Take $10K to Swap Your Pension for a 401(k)?
A bill in Washington state aimed at cutting costs offers incentive to move state workers to DC plans.
Washington Watchers See a Lull in Budget Wars
Noting that it's an election year, Washington analyst Greg Valliere predicts the next Congress will be "more conservative than this one."