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Firms on the hook for hiring bad brokers
Sweep reminds broker-dealers they're going to be held accountable for hiring brokers who prove not fit to work in the industry.
Weeding out rogue brokers
If the industry was really serious about getting rid of rogue brokers, it would do more both individually and through Finra.
Make clients aware of filial laws that could wreak havoc on the financial security of millions
Encourage clients to think ahead about how much financial responsibility they're willing to assume for their aging parents.
Raymond James’ $17M fine over anti-money-laundering failures should be a wake-up call
In the wake of Raymond James' $17M fine, it's time advisers take regulators' focus on this issue seriously, as rules are only going to get stricter.
Advisers’ role in retiree health care
What’s the single biggest expense that your clients will face once they’ve retired? Housing? Recreation? How…
Steering clear of estate food fights
When Father Time catches up to clients, it's hard to tell the exact moment when one may be most vulnerable to abuse.
College debt is a burden to all
Advisers can help parents and students minimize the amount of debt that will follow them long after graduation day.
Shedding early light on President Barack Obama’s economic legacy
The long-term effects of the decisions made will shed light on the effectiveness of this period of economic history
Keep your eye on the Puerto Rico bond saga
Advisers must regularly monitor investments, even apparently safe mutual funds, to make sure they are not taking on increased risk.
The perils of investment crowdfunding
While investment crowdfunding is a trendy way to raise funds for companies, advisers should inform clients of the caveats
Bright side of the new DOL fiduciary rule: Tech and efficiency
The rule is likely to unleash a wave of software upgrades and business relationships that will result in greater efficiencies for advisory firms.
Clients still need Social Security advice
File and suspend's elimination doesn't mean advisers should put Social Security planning on the shelf.
Why independent broker-dealers are in survival mode
InvestmentNews senior columnist Bruce Kelly talks about the challenges facing indie B-Ds and what many firms are doing to survive.
A technology response to the DOL fiduciary rule
To face the changing regulatory season squarely, it's time for some technological spring cleaning
Chinese acquisition of AssetMark raises questions
The Chinese are coming! The Chinese are coming! They’re coming to the U.S. investment advice market, as reported…
Is securitizing health care loans a workable solution for accessing high-cost medical treatments?
As an investment, this is an idea that adopts the same general form as mortgage-backed securities.
A DOL fiduciary rule everyone can live with
Final version includes a number of changes that address the most serious concerns of those who most vehemently criticized it.
Bringing REIT commissions to light
It's one thing to charge an investor a high commission, but it's another to hide it and not be transparent about your charges.
Number of mutual fund share classes boggles the mind
Meanwhile, the industry's biggest threat, ETFs, are chugging along offering a single-version product to all investors.
The road to retirement just got rockier
Advisers have a vital role in helping long-term care insurance holders decide whether the policies are worth the cost.
