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PRACTICE MANAGEMENT OCT 15, 2013
5 things every adviser should know about the debt ceiling, shutdown

Top concerns that might be most pressing to financial advisers' clients.

By Jeff Benjamin
RIAS OCT 15, 2013
UBS team goes indie

Largest wealth management team in San Diego.

By Trevor Hunnicutt
RETIREMENT PLANNING OCT 15, 2013
Age differences can muddle Social Security-claiming strategies

Married couples should focus on maximizing survivor benefits.

By Mary Beth Franklin
REGULATION AND LEGISLATION OCT 15, 2013
State regulators question RIAs' use of mandatory arbitration

'How can that be in the best interests of the client?' one asks.

By Mark Schoeff Jr.
INDUSTRY NEWS OCT 15, 2013
Cost of the shutdown: $300M a day

IHS says cost will accelerate; one week closure could shave 4Q GDP by 0.2%

By Gregory Crawford
RETIREMENT PLANNING OCT 15, 2013
Warning: gov't shutdown could topple your portfolio

How will the federal government's impending Oct. 1 shutdown affect your savings?

By lkonish
REGULATION AND LEGISLATION OCT 15, 2013
White says SEC is moving on fiduciary but other rules to come first

SEC chief Mary Jo White says the agency is working on a rule to raise investment advice standards for brokers, but other rules, like crowdfunding, will come first. What gives?

By Mark Schoeff Jr.
REGULATION AND LEGISLATION OCT 15, 2013
Finra charges B-D chief with using investor funds for home remodeling

Finra claims the head of a B-D that packages and distributes illiquid equipment-leasing funds misused investor money to pay for personal expenses including remodeling her house.

By Bruce Kelly
INDUSTRY NEWS OCT 14, 2013
World keeps faith in Treasuries

Finance chiefs from nations holding more than $1.3 trillion of Treasuries signaled no plans to sell

By Matt Ackermann
Decoding Social Security's family maximum-benefit rules
RETIREMENT PLANNING OCT 14, 2013
Decoding Social Security's family maximum-benefit rules

Couples aren't affected if no minor children are collecting benefits.

By Mary Beth Franklin
INDUSTRY NEWS OCT 13, 2013
Community Leadership Awards deadline extended

Through April 28, nominate an adviser who is dedicated to making the world a better place.

By Gregory Crawford
INDUSTRY NEWS OCT 13, 2013
Community Leadership Awards: Deadline is today

Nominate an adviser who is dedicated to making the world a better place for a Community Leadership Award.

By Gregory Crawford
RETIREMENT PLANNING OCT 13, 2013
Gurus: Bull market alive and well

Coté, Doll love equities but hate Washington politics, health care law.

By Jeff Benjamin
FIXED INCOME OCT 13, 2013
Galvin eyeing Puerto Rican muni debt obligations

Value of P.R. muni bonds dropped last month.

By Bruce Kelly
INDUSTRY NEWS OCT 13, 2013
Giving back, not giving up

At the 7th annual Community Leadership Awards, a fighter pilot tells of finding real fulfillment serving others. Plus, other stories of financial advisers' stepping up to give back to their communities.

By Liz Skinner
IRA ALERT OCT 13, 2013
IRA Alert: Tax court shoots down medical exception

By Ed Slott
RETIREMENT PLANNING OCT 13, 2013
Schwab ETF 401(k) platform has hiccup

Expected to launch in fourth quarter, platform hits regulatory snag.

By Darla Mercado
RIAS OCT 13, 2013
Two teams join Wells from rivals

Managed total of nearly $500 million.

By Trevor Hunnicutt
REGULATION AND LEGISLATION OCT 13, 2013
SEC: Small violations can spur enforcement

Chairman Mary Jo White says the Securities and Exchange Commission will zero in on minor missteps to stop larger violations. The upshot? Look for more enforcement action.

By Mark Schoeff Jr.
TAX OCT 13, 2013
James Glassman touts taxing consumption instead of earnings

Live from the IMCA conference: 'Policy change is really key to growth,' he says

By Jeff Benjamin