Resource Type

SEC Proposes Package of Enhancements to Regulation of Broker-Dealers and Investment Advisers

May 10, 2018

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.

IRS Requests Input on Possible Expansion of the Determination Letter

May 10, 2018

The Internal Revenue Service (IRS) is currently requesting comments on possible ways to expand the determination letter program for individually designed retirement plans.

DOL Issues Guidance on ESG Investing

May 10, 2018

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.

College Savings Can Be a Slam Dunk

April 2, 2018

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.

Fifth Circuit Court of Appeals Vacates DOL Fiduciary Rule

March 26, 2018

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.”