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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The sustainable investing industry sees state policies as the biggest threat to investing that's meant to further environmental, social and governance goals.
October 18 -
Supporters of panel credit it for collecting data on firms' C-suites, boardrooms. But it's unclear if Republicans in charge would walk away from the efforts.
October 17 -
Advisors are telling recipients not to get used to such large adjustments.
October 13 -
Industry representatives fear DOL misclassification rule will lead to costly court battles
October 12 -
Although putting money into alternative assets is already legal, some hesitate to do it because of perceived legal pitfalls.
October 6 -
Republicans are unlikely to see eye-to-eye with Biden on fixes for major social programs if they retake Congress in November.
October 4 -
A dual Romanian-U.S. citizen has been fighting an IRS contention that he owes $2.7 million for failing to submit FBAR forms.
October 3 -
The changes reflect an effort to give penalties more teeth, similar to what the regulator did last year with Robinhood's $70 million fine.
September 29 -
Federal regulators found violations at all levels of the Wall Street banks and financial services firms.
September 27 -
The proposal mirrors FINRA's policy requiring annual continuing education.
September 23 -
State regulators' enforcement actions for 2021 reveal which scams pose the greatest risks to investors.
September 21 -
Policies would require internal inspections of home offices once every three years and set up a pilot program to test remote reviews.
September 20 -
NASAA proposes new conduct standards for real estate trusts, updating net income and worth limits.
September 15 -
With a prediction of a historically high Social Security COLA, some worry about tax consequences
September 13 -
Though many firms have abandoned commission-based models, they can still be found in certain parts of the country.
September 9 -
Many see Social Security reform as needed but question remedies put forward by Rep. Angie Craig and others in Congress.
September 7
