Displaying 913 results
Does the SEC really need to define ‘best interest’?
Now's the time for brokers and advisers to weigh in.
IPO filing could usher in new era of legitimacy for RIAs
It seems only natural that IPOs will be the next step.
No good reason not to support auto-enrollment retirement plans
55 million American workers without a workplace plan must have the opportunity to get that coverage and start investing. They aren't doing it on their own.
Financial schemes against seniors are most often committed by people closest to them
Advisers can — and should — take steps to discourage elder financial fraud.
Transparency, credibility, fairness: Finra’s decision to explain rationale for penalties is a welcome one
Agency strikes a balance between punishment and deterrence.
Financial advisers must manage retirees’ aversion to risk with behavioral finance skills
Advisers should be ready to prepare older clients for an altered game plan.
It’s time to educate your clients, and yourself, about alternative investments
Advisers must know the benefits and pitfalls of common alts.
A pat on the back for progress, but Finra has a long way to go
Regulator has chalked up some welcome changes, but the work is not done.
SEC advice rule: Time for brokers, advisers to weigh in
Much work remains on the proposal, so feedback is crucial.
Beware: Regulators won’t take excuses for reverse-churning
Exam priorities and lawsuits are zeroing in on account switching.
Like it or not, annuities are coming to retirement plans
Some lawmakers are warming to the notion of using annuities to help solve the nation's retirement crisis
Industry and regulators need to safeguard broker data
Poor data management and sharing practices can expose the personal information of thousands of individuals.
DOL fiduciary rule: Don’t abandon compliance just yet
Financial advisers, firms should not make any dramatic changes until the direction of this giant fiduciary ship is on a clearer course.
There’s a major flaw in Finra’s arbitration system
A much more feasible remedy has recently been put forth by PIABA.
Advisers: Make sure your clients aren’t owed pensions
Insurance companies may need help finding forgotten pensioners who left a company with a defined-benefit plan long ago.
Social Security: Advisers must stay current on regulations
A new report indicates that thousands of widows and widowers have been shortchanged by the SSA.
DOL fiduciary rule enforcement won’t be halted after all
Massachusetts may be just the first state to hold firms accountable.
Advisers should take SEC up on offer to waive penalties
This isn't exactly an amnesty program, but it's probably the closest thing.
Make sure clients don’t take the wrong lessons from the drop
Corrections can occur, even when all the indicators seem to be positive.
Despite a pumped economy, Trump’s approval remains low
Leadership style is a big factor in rallying unity to attain policy goals.
