The agency's cautioning against using crypto in retirement accounts violates current law and sidesteps public input, the trade associations argue.
In a set of frequently asked questions about Form CRS, the SEC cautions investment advisers about saying that they're held to a fiduciary standard.
The former rep, Joseph C. DeNicola, alleged wrongful termination, defamation and unpaid compensation.
The proposed legislation's popular provisions include increasing the RMD age to 75 and allowing employers to match student loan payments with retirement plan contributions.
Investment Adviser Association, American Securities Association say advisers need more than 48 hours to report breaches to SEC.
One of the best-performing products last year was registered index linked annuities, which are touted for use in volatile markets.
Digital tokens like Bitcoin and Ethereum are classified as property by the Internal Revenue Service and taxed like stocks and bonds.
Many provisions in the House Education and Labor Committee bill have only Democratic backing, which reduces their chances of being part of a bigger retirement savings measure later this year.
Petitions to confirm or vacate awards are now more likely to be heard in state courts, where judges tend to be more skeptical of arbitration than their federal counterparts.
Michael Kitces says Massachusetts chief securities regulator William Galvin misfired by trying to impose fiduciary duty on brokers. Robinhood celebrates its win.
