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Finra should fix budget shortfall by tackling expenses
The agency must adjust to the shrinking number of B-Ds.
Supreme Court review will bolster fairness of SEC’s in-house judges
Those challenging the constitutionality of administrative law judges argue their increased powers mean they should be appointed, not hired.
Amid seller’s market for RIAs, firms must prep for potential sale
Valuations of RIAs will continue to entail more art than science.
Tax overhaul gift may turn into lump of coal sooner than later
Any positive effects are unlikely to last, and will contribute to greater budget deficits over the next 10 years.
Cryptocurrency frenzy poses a challenge to advisers
Be sure to have a solid, informed case for your viewpoint on bitcoin.
Congress’ work on tax reform barely gets a passing grade
Reform proposals should not be drafted behind closed doors
Finra needs to get serious about its pledge to protect investors
This is not the first time the regulator has been called out on the makeup of its board.
Smart money says temper expectations of stock returns
Gains are unlikely to top 5% annually, according to the Yale Endowment's David Swensen.
Exiting broker protocol may not be good move for industry
Firms will be able to make it more difficult for advisers to leave, but as clients get wise to the idea they are regarded as property, that could trigger a whole new, set of problems for brokerage industry.
Tax reform: Advisers will have plenty to digest as legislation works its way through Congress
Provisions in the tax bill will affect advisers and their clients alike.
It’s time to speak up about sexual harassment in the workplace
We are kidding ourselves if we think it doesn't happen in the financial advice profession, if we think we are somehow different from testosterone-driven Hollywood, the technology industry or even the broader financial services industry.
Rushed tax reform would cause more harm than a delay
Perhaps if the time allotted is expanded, cooler heads will prevail.
Advice firms need to invest in training and staff development
With most firms operating at or near capacity, firms need to step up their hiring and concentrate on building a workforce for the future.
Data breaches ratchet up risks for financial advisory firms
Registered investment advisers and broker-dealers must continue to upgrade their cyberdefenses if they wish to avoid finding themselves in hot water with investors and regulators.
Trump’s tax blueprint opaque on fate of deferrals for retirement savings
Be glad we've got something to chew on, but don't cheer too loudly, too quickly.
Do you really want states to take the lead on fiduciary?
The Trump administration's proposed delay in the implementation of key parts of the DOL's fiduciary rule has opened a can of worms for the financial services industry.
Special needs planning experts crave help from generalist peers
Planners should serve where they are truly needed.
Harvey and Irma — Reminders that advisory firms need solid continuity plans
Clients, shaken by the scale of hurricanes, will be in need of their financial advisers' reassurance that their assets are safe and accessible.
Action must be taken to make Finra more accountable
The SEC or Congress should consider forming an independent commission to consider Finra's future.
Making the most of another delay in the DOL’s fiduciary rule
The worst outcome would be if the regulation is gutted after the review.