Regulation and compliance
Regulation and compliance
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The proposed regulations also provide guidance for taxpayers who hold interests in regulated investment companies.
January 22 -
Financial advisors and their firms are providing zero-interest loans, free counseling and fresh ideas for some 800,000 federal workers going without pay.
January 18 -
As the SEC furloughs workers, the consequences are rippling across the entire wealth management industry.
January 18 -
Seniors who intend to get a Medigap policy to supplement their traditional Medicare coverage may have trouble getting one.
January 17 -
Offices remain open and monthly Social Security checks will go out on time despite the partial shutdown.
January 16 -
Non-public corporate earnings reports were among the stolen information, the regulator claims.
January 16 -
Clients may want a new plan if there have been unfavorable changes to their old plans, they want more flexibility or because of a new illness.
January 15 -
Advisors should pay attention to compliance issues and evolving expectations from clients.
January 15 -
The law now creates a different method of caring for relatives while preserving the family’s financial plan, a John Hancock associate counsel writes.
January 15 -
A closed phone line to IRS support could present a significant challenge, particularly with changes to forms like the 1040, experts suggest.
January 15 -
New Chairwoman Susan John says the board is preparing for more cases due to its new standards and code of conduct.
January 10 -
Community property rules, how to divide 401(k)s and the nuances of QRDOs are just some of the specifics advisors should know.
January 10 -
The growing number of independent financial advisors could spell trouble for traditional RIAs, says the head of the national advisory firm.
January 9 -
Nobody at the firm today owns more of its stock than Greg Palm.
January 9 -
Clients who intend to file as soon as they receive their W-2s are advised to start gathering their documents.
January 8 -
There are no “alternative facts” in the law, just truth, opinion and lies. Two you can’t sue for. And the third? Well, brokerages are very careful with their words.
January 7 -
The planner is among the brightest minds in the financial planning profession, but his endorsement of the organization's certification standards is "decidedly enigmatic."
January 7 -
From the SEC to the Supreme Court, here's what could be playing out this year.
January 7 -
The move follows calls for reform. Banned brokers, acting in lieu of attorneys, have made a living for decades representing investors.
January 4 -
A record number of fund openings and closures were reported last year. What does this mean for the future of the industry?
January 4

















