News

Displaying 42954 results
RETIREMENT PLANNING OCT 13, 2017
Lawsuit filed against first state auto-IRA program

The ERISA Industry Committee is seeking an injunction against the program's new reporting requirements.

By Hazel Bradford
RETIREMENT PLANNING OCT 13, 2017
Social Security benefits to increase by 2% in 2018

Largest cost-of-living adjustment since 2012 may be offset for some by higher Medicare premiums.

By Mary Beth Franklin
ETFS OCT 12, 2017
DOL fiduciary rule, along with two other regs, could be a boon for ETFs

Passive investments, already eating away at active managers' assets, are getting another boost.

By Bloomberg
RETIREMENT PLANNING OCT 12, 2017
Prudential wins appeal of 401(k) fee lawsuit

The case serves as a reminder to 401(k) record keepers that they may be considered fiduciaries even without exercising discretion over plan assets.

By Greg Iacurci
PRACTICE MANAGEMENT OCT 12, 2017
Report details rampant elder financial abuse

CFPB has logged more than 72,000 complaints over the past six years.

By Mary Beth Franklin
RETIREMENT PLANNING OCT 12, 2017
GOP tax battle looms over wealthy Americans

Debate rages over whether or not to repeal the estate tax and AMT, plus whether cuts should be temporary or permanent

By Bloomberg
INDUSTRY NEWS OCT 12, 2017
Morgan Stanley loses two reps to Wells Fargo

California brokers in Beverly Hills and Rancho Bernardo oversaw a total of nearly $373 million.

By InvestmentNews
INDUSTRY NEWS OCT 12, 2017
New York-area bank chooses Cetera for clearing

Flushing Bank will move from Infinex Financial Group.

By InvestmentNews
Funding options for long-term care
RETIREMENT PLANNING OCT 12, 2017
Funding options for long-term care

Funding options for long-term care include Medicaid, Medicare, or private insurance. But there are others – find out what they are

By Jonathan Russell
Financial therapy 'money scripts' can help you beat the robots
OPINION OCT 12, 2017
Financial therapy 'money scripts' can help you beat the robots

Get clients talking about youthful pitfalls they secretly keep replaying. Then show clients how to stop.

By Michelle Begina
RETIREMENT PLANNING OCT 12, 2017
Trump moves to undermine Obamacare

President's order directs agencies to write new rules for insurance.

By Bloomberg
REGULATION AND LEGISLATION OCT 12, 2017
House panel approves legislation to kill DOL fiduciary rule, and 2 other adviser-related bills

The measures, which include revising the accredited investor standard and safeguarding those who report elder financial abuse, head to the House floor but face varying degrees of difficulty in the Senate.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION OCT 12, 2017
Finra wants to help the small broker-dealer: Cook

Given the stark decline in the number of brokerages over the past 10 years, the chief regulator is looking for 'steps we can take to create an environment to help small firms be successful.'

By Bruce Kelly
LIFE INSURANCE AND ANNUITIES OCT 12, 2017
DOL fiduciary rule delay boosts prospects for annuity sales

Indexed and variable annuities are likely to get a big bump in sales if the rule is delayed until July 2019.

By Greg Iacurci
INDUSTRY NEWS OCT 12, 2017
Sisters managing $141 million leave Raymond James for Ameriprise

Trio in Ormond Beach, Fla., will join the firm's employee channel.

By InvestmentNews
RIAS OCT 12, 2017
Tiedemann to acquire $3.4 billion Threshold, which has an interest in impact investing

Founded by the Russell family, Threshold will take an ownership stake in Tiedemann, where it will also remain a client.

By InvestmentNews
REGULATION AND LEGISLATION OCT 11, 2017
Brace yourself for more SEC exams

The agency is working toward a goal of examining every RIA at least once every five years.

By Guy F. Talarico
REGULATION AND LEGISLATION OCT 11, 2017
Trump may tout $4,000 worker benefit in tax pitch

President would argue middle class stands to benefit from corporate tax cuts.

By Bloomberg
BROKER DEALERS OCT 11, 2017
Finra bars former broker over unauthorized use of discretion

Kenneth Neuner, terminated by Summit Brokerage, was an arbitration no-show

By InvestmentNews
REGULATION AND LEGISLATION OCT 11, 2017
Preston Rutledge, senior aide on Senate Finance Committee, could be filling Phyllis Borzi's old post at DOL

Preston Rutledge, the senior aide on the Senate Finance Committee, could become the next DOL assistant secretary for the Employee Benefits Security Administration.

By Mark Schoeff Jr.