Financial Planning

Washington

• Naked Short Selling Case Ensnares Ex-OptionsXpress CFO, Customer

  April 16, 2012

  The SEC charged four executives of what is now a Charles Schwab Corp. subsidiary as well as one customer with selling billions of dollars worth of securities they could not deliver.

• Ameriprise Didn’t Charge Excessive Advisor Fees: 8th Circuit

  April 16, 2012

  After a long, winding legal road, involving no fewer than six federal court decisions, Ameriprise Financial finally won a suit alleging that it had charged excessively high advisor fees.

• Bernanke: Financial Crisis Was a Structural Failure

  April 16, 2012

  The 2008-2009 financial crisis that rocked worldwide markets was amplified by the lack of a sufficient regulatory framework, including checks on the largest broker-dealer firms, Federal Reserve Board Chairman Ben Bernanke said Friday.

• 7 Advisors' Best Investment Ideas For This Election Year

  March 2, 2012

  Here’s an interactive slide show detailing the best investment ideas for this election year from seven financial advisors practicing throughout the country.

• Justice Department Clears Way for Raymond James Acquisition of Morgan Keegan

  February 28, 2012

  Raymond James clears one hurdle in getting early termination of the waiting period in connection with the $930 million purchase of Morgan Keegan

• Firestorm Over FINRA's Query on Expanding, Sharing BrokerCheck Info

  February 24, 2012

  FINRA is seeking input regarding changes it is weighing with respect to BrokerCheck. The proposed changes prompted a swift and strong response from readers on Financial Planning’s discussion boards.

• FSI Says It Helps Get Stretch IRA Tax Rule Dropped From Federal Highway Bill

  February 22, 2012

  “With our economy in the shape it’s in, and saving for retirement more difficult than ever, it was critical that this troubling provision be stripped from the bill,” according to a statement from FSI President and CEO Dale Brown.

• House Panel Narrowly Passes SEC Accountability Act

  February 17, 2012

  The SEC could be hunkered down conducting cost-benefit analyses on each new rule-making it undertakes, including the scores coming out of the Dodd-Frank Wall Street Reform Act.

• 10 Global Investment Predictions For Advisors, Investors

  February 17, 2012

  Here are 10 global investment predictions for 2012 that advisors and their clients should be monitoring through the rest of the year.

• Muni Bond Groups Urge Congress to Nix Obama Cap

  February 16, 2012

  Seventeen muni groups are urging members of Congress to reject President Obama's proposal to place a 28% cap on the value of tax-exempt interest, warning it will hurt the market and that its retroactivity will reverse nearly 100 years of legislative history.

• Why Did Barney Frank Retire?

  January 6, 2012

  He didn't want to lose and didn't want to do what was necessary to win.

• Debate Over SRO for Advisors to Extend Well Into 2012

  December 9, 2011

  Lobbying 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.

• House Republicans Urge Focus on Consumer Choice

  December 5, 2011

  Ahead 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.

• Dodd-Frank Co-Architect to Retire Next Year

  November 28, 2011

  Rep. 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.

• 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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