Dan is a business journalist who previously worked for various local newspapers and industry publications. He also worked for two years in Beijing as an editor at China Daily. A graduate of the University of Missouri-Columbia, he has written about banking, local governments and the legal profession, among other subjects. He now covers how politics, policy and regulation affect the financial planning industry.
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Portfolio reviews and retirement contributions are at the top of to-do lists of Morningstar, AARP and industry groups.
January 2 -
Some think planners need to be more forthcoming about how much of their investing work is being entrusted to third parties.
December 29 -
Christopher Parris also pleaded guilty to fraudulently trying to sell COVID masks to the U.S. government and private businesses.
December 28 -
Government watchdogs propose more oversight amid collapse of crypto and falling markets.
December 27 -
Even before the collapse of FTX, concerns about cryptocurrency and other risky investments were keeping regulators busy.
December 26 -
Comments on FINRA proposal question of difficulty of getting meritless customer complaints erased.
December 22 -
Industry advocates worry the federal agency's proposed rule would undermine the business model that allows advisors and broker-dealers to act independently.
December 19 -
The Wall Street regulator's Regulation Best Execution would require firms to go to extra lengths to ensure they're getting the best deals for customers.
December 16 -
The eight defendants in the federal investigation stand accused of making more than $100 million from manipulating stocks on social media.
December 14 -
For financial planners working with digital assets, the key to staying on regulators' good side is to 'disclose, disclose, disclose.'
December 13 -
Speakers at the Crypto for Advisors conference said that as crypto questions come up more often, financial advisors need to prepare themselves
December 12 -
Planners warn that clients still need financial education to understand the ins-and-outs of new plans.
December 8 -
Popular brokerage is letting investors put retirement money into traditional and Roth IRAs.
December 6 -
The push to regulate non-traded REITs lurks behind new concerns about liquidity.
December 5 -
The head of the Commodities Futures Trading Commission disputes the idea that his agency would have a "light touch" with digital assets or encroach on the SEC.
December 1 -
CFP Board teams up with Foundation for Financial Planning to further their goal of increasing the number of planners who offer advice for free.
November 30 -
Crypto boosters are quick to caution jittery investors that other, better-regulated industries have not been immune to scandals.
November 23 -
The new federal regulations will allow, but not require, 401(k) fiduciaries to take environmental, social and governance principles into account.
November 22 -
Regulators' amendment would prevent dealers who have been found liable from even trying to get records erased.
November 18 -
The founder of the JLL Income Property Trust non-traded REIT thinks real estate deserves a place on advisors' list of alternative investments.
November 17
