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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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 -
Agency's critics say many companies still see their settlements as a cost of doing business.
November 15 -
CFP Board is seeking to preserve "adversarial principles" in proceedings before its disciplinary and ethics commission.
November 14 -
Financial professionals do a good deal of sleuthing tracking down old retirement accounts for clients.
November 11 -
Despite investors' anxieties, financial professionals rarely see political contests as reasons for big changes in portfolio strategies.
November 9 -
The justices' decision in SEC v. Cochran could ultimately reduce the power of administrative law judges over advisors and broker-dealers.
November 8 -
Although planners may not have fiduciary duty to protect older clients, many see it as an ethical obligation.
November 4 -
Though an oft-cited index shows that 16 non-traded REITs gained 71.1% over the past five years, regulators appear unimpressed.
November 2 -
Taking effect on Nov. 4, new advertising standards will allow client testimonials and bring together prohibitions on false and misleading language.
November 1 -
Shareholder documents, now at least hundreds of page long, will have to limit themselves to portfolio, performance and expense information.
October 27 -
An industry group contends that the commission is overestimating RIAs' control over outsourced services.
October 26 -
In a twist, recent class actions blame 401(k) advisors for not putting investors' money into higher cost, better performing investments.
October 21
