House Panels to Hold Hearing on DOL Fiduciary Rule
The hearing could lead to the markup of a bill that would stop the DOL rule until the SEC comes out with its own.
IRS Budget Cut Opens Door for Cyberattacks, Tax Cheats: Sen. Wyden
Wyden, ranking member of the Senate Finance Commitee, asks the IRS commissioner to make his case against a $470 million budget cut.
Fiduciary September 2015: An Historic Time for Fiduciary Advice
Reclaim your Advisers Act heritage, urges the Institute for The Fiduciary Standard, and tell your story to investors in the public square.
Cash Balance Plans, QLACs Gaining Thanks to New Treasury and IRS Regs
New rules are helping cash balance plans and QLACs become attractive retirement planning options.
DOL Set to Issue Final Fiduciary Rule
Even before the mid-August hearings at DOL headquarters, Labor Secretary Tom Perez confirmed: A final rule will be issued once the comment period expires.
A Message From the SEC—Listen Up!
On June 23, the SEC entered into a settlement with a large advisor for failures to “implement and enforce provisions of its policies and procedures and code of ethics.”
For Once, Two Certainties in D.C.: New SEC Commissioners, DOL Fiduciary Rule
The New Year — yes, I’m talking about 2016 already — will bring with it two certainties: A final fiduciary rule will be unveiled and new commissioners will arrive at the SEC.
CFA's Roper Gives It to the Brokerage Industry
While the DOL has received a “few valuable nuggets” regarding its proposed fiduciary rule, there are other suggestions itcan “safely ignore,” said Barbara Roper.
DOL, SEC Enforcement: DOL Wins Settlement for Whistleblowers
Meanwhile, the SEC charged a former investment bank analyst who worked in JPMorgan’s San Francisco office with insider trading.
Are Treasury’s AML Rules for Advisors a Waste of Time?
IAA is looking at FinCEN’s proposed anti-money laundering rules to assess whether the expected benefits justify the compliance costs.