Secure Act 2.0 Litany of Retirement Change Presents Employers Enhanced Retirement Opportunities for Employee - Marcia Wagner, Dannae Delano, Alexander Olsen, Kim Shaw Elliott and Barry Salkin, Bloomberg Tax, Tax Management and Compensation Journal, Vol. 52, No. 02,...
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If You Give Rollover Advice to IRA Owners Act Now: The Compliance Deadline Has Passed
If You Give Rollover Advice to IRA Owners Act Now: The Compliance Deadline Has Passed - Marcia S. Wagner and Kim Shaw Elliott, Investment & Wealth Institute, September/October 2022
Massachusetts, Pennsylvania and New Jersey Taxpayers Beware
Massachusetts, Pennsylvania and New Jersey Taxpayers Beware: Don’t Let a Mismatch between Your State’s Tax Laws and the Federal Rules for Deducting Contributions Result in Overpaying Your State Tax on Retirement Distributions. Recordkeeping and Professional Advice...
DOL Drops ‘Bomb’ On Advisors Who Give Advice To IRA Owners
DOL Drops ‘Bomb’ On Advisors Who Give Advice To IRA Owners - Km Shaw Elliott, InsuranceNewsNet, October 22, 2021
SEC Extracts $96M Settlement from TIAA Subsidiary for Rollover Practices – This is Only the Beginning
The Securities and Exchange Commission (“SEC”) beat the Department of Labor (“DOL”) to the punch and announced a major settlement with a broker dealer arising from its rollover practices. In what is likely the first of many prosecutions to come, the SEC hit hard and...
More Investors Qualify to Purchase Unregistered Securities… But What Will the Expanded Definition of “Accredited Investor” Really Change for BDs and RIAs?
By Kimberly Shaw Elliott Registered representatives and investment adviser representatives may soon purchase for themselves the unregistered products they recommend to other investors, without proof of their financial resources. These financial professionals join an...
PANDEMIC and Broker-Dealer/Recordkeepers and Advisors… Chances Are, Your Business Continuity Plan Did Not Fully Address This…
By Stephen Wilkes, Kimberly Shaw Elliot and Seth Gaudreau In uncertain times like these where the novel coronavirus or COVID-19 seems to be impacting everything, broker-dealers, investment advisory firms, and the recordkeepers that deal with retirement plan assets are...