Displaying 913 results
State, local auto-IRA initiatives benefit ‘forgotten’ workers
Automatic-enrollment IRA programs would encourage employees to save for retirement.
It’s up to advisers to know their custodial status
It's all too easy for financial advisers to find themselves unwittingly defined as custodians of their clients' assets.
President Trump’s order on DOL fiduciary rule creates quandary for firms
President Donald J. Trump left the financial advice industry in no-man’s land when he issued…
Getting a handle on robo-advisers’ returns
Not all digital advice platforms are created equal. But which one ultimately serves your clients best will take a bit more time to tease out.
Too soon to tell how best to invest under Donald Trump presidency
Markets have risen since the president was elected, but his personality makes it difficult to discern when he is serious and when he is beating his drum for effect.
SEC confirmation hearings for new chairman should be fast-tracked
Financial industry leaders should urge President Trump and Republican congressional leaders to move quickly on the confirmation hearing…
Congress shouldn’t overlook these adviser issues in rush for change
From filling the SEC to renewing bills addressing accredited investor status and elder financial abuse, legislators shouldn't forget past priorities.
The SEC should wake up and start appointing its judges
That move would take off the table a common challenge brought by defense attorneys: that hiring judges is unconstitutional.
An evolving profession must continue to innovate
The personal tales highlighted in InvestmentNews should encourage others in the industry to try new ideas and not fear failure.
‘Tis the season to get holly, jolly and helpful
For some of us, it’s the most wonderful time of the year. As we prepare to gather with…
Time for 401(k) plans to step into the modern age
The world of work has changed dramatically in the past 20 years, but some of our laws and…
Don’t hold your breath on DOL fiduciary rule repeal
Congressional Republicans have been urging President-elect Donald Trump to scrap the Department of Labor’s…
Get serious when choosing SEC chief
We’ve only just begun. Those words remind some of us of the 1970s hit by The Carpenters, and…
Donald Trump faces a steep learning curve
With Donald Trump’s shocking victory over Hillary Clinton last week, America woke up to a new reality. Financial…
Finra’s sweep of broker-dealer cross-selling may head off problems
It shows Finra is carrying out its responsibility of regulating the industry and serving as the watchdog protecting the public.
Eyes wide shut on DOL fiduciary future
The advice industry is still largely speculating about what lies ahead.
A clear view of alternative strategies is a challenge for financial advisers
An alternative strategy is only as good as what it is an alternative to. What is its purpose?
New path for resolving late RIA rollovers
How to minimize the chance of a late rollover.
Performance-based pay may lead to problems including fines — and even a tarnished brand
Nobel prize winners studied performance-based compensation practices reported back a cautionary tale.
Sen. Elizabeth Warren’s bogus charges against SEC’s Mary Jo White
Warren's charges could be motivated by political calculation rather than concern about investor protection or information.
