Retirement Regulation

Attorneys allege investment products were marketed as late as March 2018, after FIP had been shut down in numerous states.

5 reps were caught by the firm, despite issues with surveillance tools that delayed earlier detection of criminal activity.

While many get distracted by the debate about the various “Fiduciary Rules,” a few quietly practice rather than preach.

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

The SEC can fix its flawed proposal before it issues its final rule by making these 4 main changes.

SIFMA is calling on the SEC to “swiftly proceed to final rulemaking”--but not without considerable revisions and clarifications to the agency's proposals.