Yahoo Web Search

Search results

1. • U.S. Department of Labor Issues a New ERISA Fiduciary Rule | JD Supra

     JD Supra· 3 days ago

     On April 23, the U.S. Department of Labor (DOL) finalized its latest effort to change the rules for determining who a fiduciary is under the Employee Retirement Income Security ...

2. • 

     SEC Fines Financial Advisor for Undisclosed Conflicts Related to Film-Production Company

     Barrons.com· 17 hours ago

     The Securities and Exchange Commission alleges that Hudson Valley Wealth Management and its founder...

3. • New Final Department of Labor Rules on Investment Advice are Immediately Challenged in Court

     The National Law Review· 6 days ago

     The U.S. Department of Labor (“DOL”) recently issued final, new regulations (the “rules”) regarding who is considered an investment advice fiduciary that ...

4. • 

     Ohio Attorney General Dave Yost files lawsuit to remove members of teachers’ pension board

     Ohio Capital Journal via Yahoo News· 2 hours ago

     He accused them of being a part of an attempt “to hijack” the pensioners’ retirement accounts....

5. • The New Fiduciary Rule (32): The DOL’s Final PTE 2020-02 | JD Supra

     JD Supra· 2 days ago

     On April 25, 2024, the Department of Labor published its final regulation defining fiduciary status for investment advice and the related exemptions—PTE ...

6. • 

     New York RIA, founder to pay almost $1M to settle SEC conflict of interest charges

     InvestmentNews· 24 hours ago

     Hudson Valley Wealth and its founder Christopher Conover were charged with breaching their fiduciary...

7. • SEC Issues Third Marketing Rule Risk Alert for Investment Advisers | JD Supra

     JD Supra· 2 days ago

     EXAMS issued its first risk alert on the Marketing Rule ahead of its November 2022 required compliance date, outlining the aspects it expected to focus on during...

8. • 

     Regulators Must Distinguish Financial Advisement from Investment Advisement

     WealthManagement.com· 3 days ago

     The regulatory conflation of “wealth/financial” with “investment” dates back to 1987, and it...

9. • ALERIAN MLP ETF TAX UPDATE

     WJTV Jackson· 10 hours ago

     As part of the additional tax accrual, the Fund's deferred tax liability (DTL) has increased due to tax reporting received from the underlying investments that indicates a ...

10. • The Impact of Current Trends on Investment Firm Risk Management | JD Supra

      JD Supra· 1 day ago

      Looking ahead at the investment advisory industry, three trends stand out: an increase in the number of investment advisors, expansion of investment...