Browsing Tag
Regulation
216 posts
SEC Makes it Harder for Investors to Influence Corporate Agendas
The Securities and Exchange Commission (SEC) voted on Wednesday to adopt amendments that critics say make it harder…
Anthony Scaramucci to Talk Trump, TAPOs at EXCEL 401(k) Digital Series
He’s got something to say. Never shy for words, financer, author, speaker, and Trump foil Anthony Scaramucci will…
Why Recent Regulatory Actions Will Harm 401(k) Plan Sponsors, Participants
Retail investors have enough to worry about amid a global health and economic crisis that has left millions…
Biden to Swap 401k Tax Breaks for Credits
Breaking news in a number of financial and political publications about the possibility that Joe Biden would—if elected—end…
Senators Want Billionaire ‘Wealth Tax’ to Fund All Medical Expenses
Democratic Senators Bernie Sanders, Ed Markey and Kirsten Gillibrand have introduced a 60% tax on what they say…
MAJOR Absence of Minority Representation in Financial Regulation
“Perhaps one of the biggest open secrets in Washington, D.C. is the virtual absence of African American financial…
VALIC to Pay $40 Million to Settle Charges It Deceived Teachers
The Securities and Exchange Commission charged VALIC Financial Advisors (VFA) for failing to disclose to teachers and other…
Warren Leads in VP Pick, Reintroduces Retirement Savings Bill
Recent polls have Elizabeth Warren taking the lead in voter preference as Joe Biden’s vice-president pick, but now…
Return of the DOL’s ‘Five-Part Fiduciary Test’
On June 29, 2020, the DOL issued a rulemaking package consisting of a final rule setting aside the…
Senator Slams Department of Labor’s Revamped Fiduciary Rule
The Department of Labor’s latest attempt to impose a fiduciary standard for advisors, which consumer advocates see as…