Browsing Tag
Regulation
216 posts
House Republicans Reintroduce Anti-Financial Transaction Tax Legislation
Recent calls from Democrats for a financial transaction tax in the wake of the GameStop saga were met…
New Year, New Rules: 3 SECURE Act Changes Coming Soon
This past year has been unpredictable, at best, but as we move into 2021, there is one thing…
Trump Names Elad Roisman as New SEC Chair
The Securities and Exchange Commission today announced that President Donald Trump designated Elad L. Roisman as Acting Chairman…
Department of Labor Issues Investment Advice Final Rule
On Tuesday afternoon, the U.S. Department of Labor today announced a new exemption for investment advice fiduciaries. The…
Democrats Go All-In on Green 401k Agenda: WSJ
“Democrats want to kill your business, so please account for the hospitalization and burial costs.” On Monday, The…
Will ‘National Universal Access’ to 401(k) Plans Increase Coverage?
Now that it’s official, will a Biden-Harris Administration mean more calls for an Obamacare like effort for retirement…
SEC Adopts Electronic Signature for Document Submission
Welcome to the 21st century. Last week, the Securities and Exchange Commission finally voted to adopt rules to…
Advisor Uses Underwater ‘Sea Scooter’ to Avoid Ponzi Scheme Arrest
A California financial advisor wanted for his role in an alleged $35 million Ponzi scheme went to extreme…
Episode 13—Prime Capital Investment Advisors’ Matthew Wolniewicz Gets Real About ESG, Peps and the Election
There’s a lot happening on the 401(k) front—ESG, MEPS, and PEPs, the election—and we asked industry veteran Matt…
The Dark Side of 401k Fiduciary
Fiduciary has become a marketing term/tool, and is no longer: There’s a common characteristic that links exemplary fiduciaries;…