Fred Reish
Contributor at The National Law Review
ERISA attorney, and author, speaker and commentator on retirement issues; co-host of the Nevin&Fred podcast
Articles
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2 weeks ago |
jdsupra.com | Joan M. Neri |Fred Reish
FINRA’s continued focus on account recommendations and rollovers is evident in its 2025 FINRA Annual Regulatory Oversight Report (the Report), Based on the Report, broker-dealers and their registered representatives (advisors) should ensure that account transfers and rollover recommendations are evaluated based on all relevant factors, that the recommendation aligns with the investor’s financial circumstances and investment objectives, and that the investor receives adequate disclosures.
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1 month ago |
jdsupra.com | Fred Reish
FINRA’s 2025 Annual Regulatory Oversight Report 2025-annual-regulatory-oversight-report.pdf included a focus on issues related to retirees and senior investors. The Report provides guidance to broker-dealers about the priorities of FINRA in its regulation, supervision and enforcement programs for broker-dealers. In other words, it is one of FINRA’s ways of telling the regulated community that it should be paying particular attention to certain issues.
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1 month ago |
fredreish.com | Fred Reish
FINRA’s 2025 Annual Regulatory Oversight Report 2025-annual-regulatory-oversight-report.pdf included a focus on issues related to retirees and senior investors. The Report provides guidance to broker-dealers about the priorities of FINRA in its regulation, supervision and enforcement programs for broker-dealers. In other words, it is one of FINRA’s ways of telling the regulated community that it should be paying particular attention to certain issues.
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2 months ago |
jdsupra.com | Fred Reish
FINRA has recently issued its 2024 Annual Regulatory Oversight Report 2024 FINRA Annual Regulatory Oversight Report | FINRA.org. The Report provides guidance to broker-dealers about the priorities of FINRA in its regulation, supervision and enforcement programs for broker-dealers. In other words, it is one of FINRA’s ways of telling the regulated community that it should be paying particular attention to certain issues.
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2 months ago |
fredreish.com | Fred Reish
FINRA has recently issued its 2024 Annual Regulatory Oversight Report 2024 FINRA Annual Regulatory Oversight Report | FINRA.org. The Report provides guidance to broker-dealers about the priorities of FINRA in its regulation, supervision and enforcement programs for broker-dealers. In other words, it is one of FINRA’s ways of telling the regulated community that it should be paying particular attention to certain issues.
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Retiring Minds Podcast w/ Nevin Adams and me: we interviewed Jeanne Thompson, who herself is a retirement expert. We only interview (at least partially) retirees. Jeanne retired from Fidelity & is now a TikTok star on retirement. This one is fun. https://t.co/FT1HFDcOsc
Oh, no. A trade war!
Nevin&Fred podcast: Plaintiffs’ attorneys continue to look for new ways to sue retirement plans & their service providers. In this episode, Nevin Adams & I talk about marketing using participant data and pension risk transfer group annuities. https://t.co/VsGNZ2aURi