On April 18, 2018, the Securities and Exchange Commission (SEC) issued a comprehensive proposal that would alter the regulation of broker-dealers and investment advisers, particularly when making recommendations to retail customers.
The Internal Revenue Service (IRS) is currently requesting comments on possible ways to expand the determination letter program for individually designed retirement plans.
On April 23, 2018 the Department of Labor (DOL) issued Field Assistance Bulletin (FAB) 2018-01, yet another piece of guidance regarding the permissibility of taking into account “ESG impacts" in investing and in shareholder activities.
Chances are your clients do not feel that paying for college will be a lay-up. Tournament time is an ideal opportunity to start these savings discussions with your clients.
The U.S. Court of Appeals for the Fifth Circuit — which covers Louisiana, Mississippi and Texas — has handed down a sweeping decision with profound consequences for the U.S. Department of Labor’s recently adopted “Fiduciary Rule.”