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Washington
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Why Did Barney Frank Retire?
January 6, 2012He didn't want to lose and didn't want to do what was necessary to win.
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The Disclosure Dilemma
January 1, 2012Our legal expert discusses when you must report a claim against you even if you didn't do anything wrong.
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Why Did Barney Frank Retire?
January 1, 2012He didn't want to lose and didn't want to do what was necessary to win.
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Debate Over SRO for Advisors to Extend Well Into 2012
December 9, 2011Lobbying over the contentious issue of regulatory oversight of investment advisors will likely continue deep into the next session of Congress, with some advocacy groups working to scuttle the measure altogether in an election-shortened legislative calendar.
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House Republicans Urge Focus on Consumer Choice
December 5, 2011Ahead of the Department of Labor’s anticipated proposal to redefine fiduciary responsibility, expected sometime in 2012, 55 House Republicans sent a letter asking for more careful consideration of the effects on consumer choice before any new rule is proposed.
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When Clients Make Questionable Decisions
December 1, 2011Our legal expert explains the ramifications of serving elderly clients.
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Volcker Rule: A Throwback To A Bygone Era
December 1, 2011The Dodd-Frank Act contains many examples of this desire to impose old standards on a new reality.
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Dodd-Frank Co-Architect to Retire Next Year
November 28, 2011Rep. Barney Frank, the influential Massachusetts Democrat who championed legislation that made such a dramatic impact on the financial planning industry, will not seek re-election next year, capping a 32-year career in Congress.
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The Uncooperative Client
November 1, 2011Our legal expert discusses what happens when clients don't follow orders.
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A Foreign Investor Fights To Go To FINRA Arbitration
November 1, 2011Was a complex product sold to a wealthy family that was only suitable for an institutional client?
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SLIDESHOW: What Drives the Planner Who Crafted Cain's 9-9-9 Plan
October 21, 2011"Simple Truths" From a Man Who Isn't an Academic
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Exclusive: The Planner Behind Cain’s 9-9-9 Plan
October 20, 2011Wells Fargo’s Rich Lowrie helped craft the tax proposal that’s driving political debate.
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HOME Act Would Permit 401(k) Money to Be Used to Prevent Foreclosure
October 17, 2011Congress is currently considering a bill that would permit 401(k) investors in danger of losing their primary home to foreclosure to use up to $50,000 or 50% of the balance, whichever is less, to prevent that from happening.
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Preparing for Backup
October 1, 2011Our legal expert explains the ins and outs of setting up a backup plan to service an advisor's clients if he or she is unable to do so.
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Making the Most of The Gift Tax and Its $5 Million Exclusion
October 1, 2011Taxpayers Beware: Gifts to charities have come under IRS scrutiny.
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