SEC Whistleblower Architect on the Problem With Frivolous Tips: SEC Roundup
By Nick Morgan and Tom ZaccaroIn this episode, Jordan Thomas weighs in on what, if anything, should be done about frivolous tips.
March 09, 2022
FINRA Warns BDs of Reg BI Obligations on Complex ProductsFINRA is seeking feedback from BDs on how they're handling complex products as it weighs changes to the rules.
March 09, 2022
Congress Sends Biden U.S. Postal Service Retiree Health Rescue BillFinal passage of H.R. 3076 could send 1.1 million workers and retirees out looking for advice.
March 09, 2022
New Mexico Eliminates Social Security Taxes for Many SeniorsThe governor has signed a bill eliminating state taxes on benefits for those under certain income thresholds.
March 09, 2022
Roth IRA Conversions in a Down Market: 6 Things to ConsiderA down market allows clients to convert a larger percentage of their traditional IRA.
March 09, 2022
'Buy the Dip' Is No Longer a Sure Thing for InvestorsThe war has aggravated an unpleasant start to 2022 for stock investors; the top U.S. stock indexes are now down 10-18% this year.
March 09, 2022
COVID-19 Drove 25% Increase in U.S. Deaths in JanuaryThe new numbers raise new questions about how retirement specialists should think about longevity.
March 09, 2022
Are Your Clients as Comfortable With Risk as You Are?Sometimes, the safe strategy might beat what professionals believe to be the best strategy.