Broker Regulation

The U.S. Department of Justice is on track to soon approve the acquisition of Express Scripts Holding Co. by Cigna Corp., as well as CVS Health Corp.'s takeover of insurer Aetna Inc.

The ACA is alive and well, despite renewed legal challenges and the elimination of the individual mandate beginning next year. Here are four things about the ACA that employers should focus on now to avoid significant financial liabilities.

IRC Section 199A could lead to a financial professional stampede to tax advisor offices.

Brokers have created investor confusion by using “advisor” to skirt the ban on using “adviser,” says one industry leader.

When an employer is faced with a high penalty, they might look to their brokers to assist with not only the official IRS response, but in some extreme cases, the financial burden as well.

How does a fiduciary with respect to a distributing plan under the 5-part test advise plan participants regarding rollovers?