FINRA Provides Advice for BDs to Fight Fraud
By Jeff BermanFINRA warned early this month that the regulator's exams this year would focus on BD filings of SARs.
April 26, 2021
IRS to Fix Inherited IRA Guidance That Confused AdvisorsThose who inherited an IRA in 2020 should wait for more guidance from the agency before taking a 2021 RMD, Ed Slott says.
April 26, 2021
Biden to Set $1M Threshold for Capital Gains Tax HikeThe increase likely affects "three-tenths of a percent of taxpayers," or some 500,000 U.S. households, says the head of the National Economic Council.
April 26, 2021
Some Democrats Want to Double the Medicare Surtax to 6.9%Bloomberg says the Biden administration might propose holding it at 3.8%.
April 26, 2021
Which Tax Hikes Are Most Likely?Tax measures floated by President Biden and lawmakers prompt a hot debate; tax experts Greg Valliere and Allison Hutchins weigh in.
April 26, 2021
The Pros and Cons of Being a Data-Driven AdvisorRelying too much on data can make you miss what's most relevant to your business.
April 26, 2021
What to Do About the Return of the DOL RuleBy Dec. 20, broader "prohibited transaction exemption" rules will be mandatory, and advisors will need to comply.
April 26, 2021
Why Family Offices Are in SEC's CrosshairsIndustry officials weigh in on the Archegos meltdown, along with a review of a family office rule that's already on the regulatory agenda.