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IRS provides guidance on 529 plans
NEWS REGULATION AND LEGISLATION JUL 30, 2018
IRS provides guidance on 529 plans

IRS OKs up to $10,000 in K-12 spending and rollovers to ABLE accounts; makes recontributing tuition refunds to 529s tax-free.

Cybersecurity remains top RIA compliance concern
NEWS RIAS JUL 25, 2018
Cybersecurity remains top RIA compliance concern

Nearly two-thirds of firms have increased testing in the area.

Finra whacks Advisor Group, NPH with $2.7 million in fines over variable annuity sales
RETIREMENT LIFE INSURANCE AND ANNUITIES JUL 25, 2018
Finra whacks Advisor Group, NPH with $2.7 million in fines over variable annuity sales

Eight broker-dealers censured for supervisory laxity in monitoring VA exchanges.

SEC bars Washington State RIA for selling unregistered promissory notes
NEWS RIAS JUL 25, 2018
SEC bars Washington State RIA for selling unregistered promissory notes

Complaint alleges Jack Jarrell sold $64 million in securities without being licensed.

Wealth Enhancement Group adds $350 million planning firm in Florida
NEWS RIAS JUL 24, 2018
Wealth Enhancement Group adds $350 million planning firm in Florida

Hybrid owned by Lightyear is acquiring Retirement Strategies Group of Jacksonville

Galvin calls out broker who claims he never had a customer complaint
NEWS REGULATION AND LEGISLATION JUL 24, 2018
Galvin calls out broker who claims he never had a customer complaint

Massachusetts securities czar says Alan Siegel lied to clients on website.

Captrust adds $1 billion RIA in Virginia
NEWS RIAS JUL 23, 2018
Captrust adds $1 billion RIA in Virginia

Catawba Capital Management, a 10-person firm, is based in Roanoke.

SEC charges Beverly Hills RIA with keeping $131,000 in unearned fees
NEWS RIAS JUL 23, 2018
SEC charges Beverly Hills RIA with keeping $131,000 in unearned fees

Agency says Margaret Black didn't refund money due to 63 clients who left firm.

Pimco top portfolio risk manager gone after investigation into inappropriate touching
NEWS INDUSTRY NEWS JUL 23, 2018
Pimco top portfolio risk manager gone after investigation into inappropriate touching

Incident involving Bill De Leon occured at a charity event in May 2017, according to published report.

Philanthropy a growing part of advisory relationship
INVESTING ESG JUL 19, 2018
Philanthropy a growing part of advisory relationship

U.S. Trust study finds clients are less interested in tax benefits than advisers may think.