Search results for: the blank effect
Federal Judge in Texas Puts Nationwide Block on FTC’s Noncompete Rule
The ban goes from preliminary to permanent in the latest ruling, but the FTC will likely appeal to the 5th Circuit.
IRS Launches Public-Private Committee to Guard Against Tax Scams
About 60 private sector companies and groups join the IRS to combat a rise in tax scams ahead of next year’s filing season.
Missouri Court Strikes Down Anti-ESG Rules
A district court judge put a permanent injunction on rules that required advisers to disclose any time they made decisions based on “a social objective or other nonfinancial...
A Compliant Process for Plan-to-IRA Rollovers
Fred Reish and Joan Neri detail how RIAs can comply with current rules while the new DOL fiduciary rule remains in limbo.
401(k) Forfeiture Lawsuits Seeing Their Day in Court
A new complaint is filed and others are moved ahead involving Bank of America, Intuit and Qualcomm.
Alight CEO Plans to Step Down After Firm Appoints Successor
Alight announced that Stephan Scholl will continue as CEO and director until a replacement is confirmed.
Are District Court Rulings the ‘Final End’ For DOL’s Fiduciary Rule?
Two federal courts in Texas halted the DOL’s new fiduciary rule. An appeal is likely, but ERISA experts say Congress may be the next best stop for the...
Second US District Court Issues Stay of Retirement Security Rule
The Northern District of Texas quickly followed the Eastern by staying the Department of Labor’s fiduciary rule ahead of its September 23 effective date.
Judge Stays DOL’s Retirement Security Rule
The preliminary injunction issued in a Texas district court comes with the fiduciary rule scheduled to take effect September 23.
Pennsylvania Judge Rejects Challenge to FTC’s Noncompete Ban
The ruling contradicts an injunction a Texas court scheduled to take effect in September.
Raymond James Steps Into ETFs, Adds Mo Sparks as Head of Division
An ETF product platform is expected to launch in 2025.
Facing Delayed Retirement, Many Americans Wish They Had Started Saving Sooner
According to new reports from Voya and F&G Annuities & Life, most Americans wish they had started saving for retirement before they turned 25.
World Investment Advisors Acquires Boston Harbor Wealth Advisors
$3.5 billion firm joins World (formerly Pensionmark) to expand its growth strategy and enhance its offering to advisers and clients.
Craig Hawley Promoted to Lead Nationwide Annuity Practice
He will transition from his current position leading retirement solutions to take the spot of the recently retired Eric Henderson.
Off-Channel Communication Tops Investment Adviser Compliance Focus
Communications such as using personal texts with clients topped the marketing rule as the ‘hottest’ SEC regulatory concern for investment advisories.
Insurers Respond to DOL to Forward Fiduciary Rule Lawsuit
Insurance industry advocates press forward with an attempt to get an injunction on the Retirement Security Rule before the September deadline.
Why Chevron Reversal May Make Retirement’s ‘Most Cautious’ Players More Risk-Averse
ERISA experts also suggest that longer-term court rulings could lessen regulatory flip-flopping.
Swing Pricing, Predictive Analytics, Safeguarding SEC Proposals to be Re-Proposed
The SEC aims to try again with its rules on predictive analytics and safeguarding by year’s end and for swing pricing in 2025.
J.D. Power Names Top 5 Firms With Highest Financial Adviser Satisfaction Ratings
Stifel and Commonwealth ranked highest among employee advisers and independent advisers, respectively.
ERISA Advisory Council Makes Case for Annuities as Part of QDIA
An ERISA Advisory Council hearing explored expanding the use of annuities in default investment offerings.