Melanie Waddell
ThinkAdvisor
Annapolis, MD, United States
Contact Melanie
Discover and connect with journalists and influencers around the world, save time on email research, monitor the news, and more.
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Past articles by Melanie:
2 More RIAs to Pay Nearly $900,000 Over 12b-1 Fees
The SEC also charged them with best-execution failures, from which the two Republican commissioners dissented. → Read More
FINRA Provides Update on 'Finfluencers' Crackdown
New guidance illustrates some initial themes from the ongoing targeted exam. → Read More
Ed Slott: Advisors Are Still Confused About IRAs
Slott also provides some Secure 2.0 and tax-time tips. → Read More
FINRA Warns of Ongoing Fake-Email Scam
Bad actors are sending phishing emails from addresses similar to FINRA's, the regulator says. → Read More
New Bill Cuts IRS Funding to Boost Social Security, Medicare
Sen. Rick Scott's Protect Our Seniors Act is drawing skepticism from Social Security advocates. → Read More
More Advisors Would Have Custody Under New SEC Plan. Here's How.
The Safeguarding Rule would cover more advisor activities and require “extensive” new relationships with custodians, legal experts say. → Read More
Church of Jesus Christ of Latter-day Saints and Its Advisor to Pay $5M in SEC Fines
The church's investment manager, Ensign Peak, created shell companies to hide investments, the SEC says. → Read More
Ex-Boston Celtics Star Paul Pierce to Pay $1.4M to SEC Over Crypto Touting
The NBA Hall of Famer didn't disclose that he was paid to promote EMAX tokens on Twitter, the SEC said. → Read More
DOL Fiduciary Rollover Guidance Is Not 'Dead': ERISA Lawyer
“I wouldn’t run out and change my policies and procedures right now, says ERISA attorney Brad Campbell. → Read More
New Bill Would Boost Social Security Benefits by $2,400 a Year
The bill would fund the increase with a 12.4% investment tax on high earners and expand the payroll tax. → Read More
SEC Votes to Expand Advisor Custody Rule
The rule's broader scope will include any client assets of which an advisor has custody, including cryptocurrencies. → Read More
New Senate Bill Would Increase Stock Buyback Tax
The Stock Buyback Accountability Act would increase the buyback tax rate to 4% from 1%. → Read More
FINRA Reviews Comments on Machine-Readable Rulebook
The comment period on the initiative is open until Feb. 21. → Read More
DOL Fiduciary Rollover Guidance Struck Down by Florida Court
The American Securities Association challenged Labor's declaration that rollover advice was fiduciary advice. → Read More
FINRA Fines Long Island BD Over Reg BI
This is FINRA's third Reg BI-related enforcement action this year. → Read More
DOL Wants Feedback on Retirement Plan Loan Fixes
Secure 2.0 widens the range of operational failures for which self-correction is available, attorneys say. → Read More
IRS Announces Interest Rates for Q2
Interest rates will remain the same, according to the IRS. → Read More
Advisor Texting, DOL Fiduciary Rule Are Hot-Button Issues This Year
Labor will likely release a fiduciary rule before summer ends, attorney Sara Crovitz tells ThinkAdvisor. → Read More
SEC to Consider RIA Custody Rule Changes Next Week
The agency will also mull changes to the investment advisor recordkeeping rule and to Form ADV. → Read More
Lawmakers Grapple With 'Accredited Investor' Definition
At issue: the SEC’s plan to update in April the financial thresholds defining who qualifies. → Read More