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Opaque ETFs not in the public interest
SEC must keep investors front of mind and avoid being swayed by fund company arguments about nontransparent ETFs
You can’t always get what you want
There are no guarantees your practice will attract the high multiple you think it deserves in a sale.
For retirees, no relief in sight from low rates
Rates tumble as Federal Reserve's easy money policy keeps going
Low interest rates hard on retirees
No relief in sight for retirees and other savers who have borne the brunt of the Federal Reserve's easy money policy
Who should be accredited these days?
Time the SEC revamped the accredited investor definition in a way that broadens the potential pool of investors and strengthens verification that they qualify.
Follow the smart money to alts
If advisers are truly looking out for the best interests of their clients, the 60-40 portfolio approach needs to change.
Advisers must avert Pimco panic
Gross' departure yet another opportunity for advisers to reach out to clients and provide sage advice
How do you buy a relationship?
When purchasing a firm, advisers enter contact with an unpredictable asset: clients.
Don’t make us laugh
Finra's latest proposal to bring transparency to broker recruitment bonuses doesn't help the investing public
An ‘adviser’ in name only
Calling a broker an adviser is dangerous, and it's time to embrace the black-and-white distinction.
Nontransparent ETFs a step backward
Less transparency for new products seems in conflict with the SEC's interest in increased disclosure of mutual fund holdings.
Advisers must move technology training to the front burner
When you put together your 2015 technology budget, be sure there's a line item in there for training.
Advisers need to go back to school
Devoting the time and energy to helping clients with college selection makes advisers more valuable, strengthens client relationships
Advisers should be supporting transparency
The SEC's potential rules to increase disclosure of mutual fund holdings should be applauded.
Foot-dragging on rules harms investors
Regulators are notorious for dragging their feet, and investors suffer when new rules take too long to be finalized.
Be part of the conversation
The Labor Department recently requested in-formation from the 401(k) industry on brokerage windows, signaling that it may be…
An accounting is due on wrap accounts
The SEC is following through on its promise to investigate use of these products, and advisers should take heed.
Proliferation of ETFs both good and bad
A big issue for advisers and investors is the ever-expanding universe of ETFs.
Alpha predator in the B-D space
This editor’s note originally appeared in the August 11th print issue of InvestmentNews. Somehow it seems appropriate that…
Dodd-Frank strikes again
Just when more sophisticated individual investors have become more comfortable with the idea of investing in hedge funds,…
