In publishing its 2023 report on examinations and risk monitoring, the self-regulatory organization reminds stakeholders that Regulation Best Interest (Reg BI) and Form CRS remain key areas of focus across its regulatory operations programs. To provide firms with more information regarding these... READ MORE

A new survey of employer-sponsored retirement plan participants reveals that compared to men, more women’s financial and retirement goals have been derailed and their confidence is shaken. The study by the Nationwide Retirement Institute found that nearly two-thirds (62%) of women are either... READ MORE

While last year’s theme was a “tug of war between earnings tailwinds and valuation headwinds,” 2023 is shaping up to be another challenging year for investors with “the Fed call[ing] the shots," Bob Doll explains in his annual list of predictions.    As he has for more than 30 years, Bob Doll, who... READ MORE

Market volatility, increasing compliance pressures and a competitive landscape for wealth management professionals continue to challenge independent broker-dealers (IBDs) and registered investment advisors (RIAs), requiring them to find new solutions to generate business, according to a new report... READ MORE

The Treasury Department and Internal Revenue Service have announced that brokers will not be required to report additional information with respect to dispositions of digital assets until final regulations are issued. According to IRS Announcement 2023-2, brokers are still required to comply with... READ MORE

At the start of 2022, Bob Doll observed that the year was shaping up to be a more challenging one for investors, but by the end of it, the Chief Investment Officer says that it was a year for the “history books.” As he has for more than 30 years, Doll, the Chief Investment Officer at faith-based... READ MORE

There’s a lot still to unpack in the new SECURE 2.0 Act of 2022, but 24 hours after its publication, here are some additional highlights. First off, it’s worth reiterating that the legislation still needs to be approved by both the House and Senate, and signed by President Biden. At this point,... READ MORE

With inflation pushing living costs higher than expected, many American retirees are realizing they might need more money to retire comfortably. How has this impacted where people decided to retire? Utilizing data from U.S. Census Bureau's current population survey and annual social/economic... READ MORE

The 401(k) and matching programs are still the most highly sought-after benefits—yet with financial pressures on the rise, employees are craving financial stability above all and are looking towards their employers for more support than ever, a new survey finds. Betterment at Work’s 2022 Financial... READ MORE