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Let’s not make a volatile situation worse
The market's swoon to start 2016 offers a sobering reminder that unexpected roller-coaster rides remain as real a threat as they were in 2015.
The danger of reaching for yield
Three lessons for advisers from the closing of the Third Avenue Focused Credit Fund.
Feeding the diversity problem
The industry has two major problems. It lacks diversity, and it doesn't recognize that it lacks diversity.
How advisers can close the industry’s gender pay gap
Be aware that many women in your firm can do the jobs above those they're currently in, but might not recognize it.
Time for Congress to act on elder abuse
Senior$afe Act seems like a win-win for financial advisers and their elder clients.
Don’t tune out crowdfunding
Advisers will need to stay current during the evolution of this new retail-level private equity market
Richard Ketchum’s Finra heir must prioritize investors
Must make it clear that investors come first, not the firms being regulated
How to help as 2 Social Security claiming strategies exit
Advisers undoubtedly are going to have to deliver some bad news, but not delivering it would be even worse for clients.
Ready to plan till age 110?
It's the adviser's job to make sure they do expect clients to live long — and plan for it
The next few years are going to hurt
If advisers think GDP growth is going to remain low, their first step should be to lower client expectations about investment returns.
A free lunch is anything but
It turns out some brokers are getting fat commissions off the investments they are plugging at those “free”…
Key to success for women: Confidence
As the years go by and the data pile up, waiting for the financial advice industry to embrace…
Reining in expungements
Move to restrict broker expungement should improve confidence that the arbitration system is fair to investors.
Building traffic to BrokerCheck
The question for Finra: How deep is their resolve to make BrokerCheck as popular as services like Yelp, TripAdvisor or Angie's List?
No government shutdown — for now
Bad news is that lawmakers once again opted for a short-term stopgap and avoided tackling the tougher issues
Mary Jo White has earned a B- as SEC chairwoman
Heading a huge, highly visible agency in the wake of a financial crisis results in ups and downs for Mary Jo White.
Model fee disclosure misses mark
Regulators need to forget the soft stuff and tackle matters of consequence.
Increase SEC exams of RIAs
Regulatory exams should be just as frequent for advisers as they are for brokers.
Exit fees in times of market stress: A solution in search of a problem
Allowing mutual funds to flip a switch and turn on exit fees for investors on a moment's notice seems reactionary and short-sighted.
Look before you leap. A cliché, but…
Two disparate pieces of recent news highlight the risks of knee-jerk reactions
