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Using an IRA like a bank is risky
Tapping accounts for short-term financing can be costly if funds aren't replaced within 60 days
Failure to launch hurts all of us
The impact of thie rising tide of student debt is widespread, increasing the need for sound financial advice.
The big benefits decision
Helping clients determine when to begin collecting their hard-earned Social Security benefits is always tricky. Having worked a…
Bankruptcy’s lessons for advisers
Bankruptcy offers advisers a chance to transform a crisis into an opportunity — not just to clear their financial slate, but to better relate to clients' struggles with money.
Best is yet to come with 40 Under 40
The excitement and energy in the room was not only palpable but contagious. I'm talking about the…
Questions on third-party RIA audits
SEC Commissioner Daniel Gallagher's proposal that RIAs be required to hire third-party examiners to audit their operations shouldn't be rushed.
Deeper broker background checks are necessary
Implementing a rule that would require mandatory background checks on new brokers could help uncover crucial information
What clients want: Transparency
Financial professionals must find better ways to let clients know why they charge what they do in fees, and why they're worth it.
Finra right to watch indexed annuities
While there is no evidence yet that broker-dealers are taking advantage of investors, the potential for harm remains.
Too much of a good thing
Don't get too caught up in the good times while nontraded REITs are extremely lucrative and lose sight of proper client allocations.
Don’t let Gen Xers push you around
Their fear of being "taken" makes them prone to trying to usurp your job as the professional
Industry group blasts editorial about nontraded REITs
Plus, another editorial on requiring broker background checks raises new questions.
A report that just gets more special
Another year, another Top Independent Broker-Dealers report. Now in its 13th year, this is one of those…
Practice makes perfect when it comes to retirement
T. Rowe Price's Christine Fahlund puts theories to test.
Embrace, don’t fear, the ‘robo-adviser’
Although the term “robo-adviser” immediately conjures images of Arnold Schwarzenegger (think Terminator, not governor), the truth is that robo-advisers are more likely to be an adviser's friend than foe.
Regulators need to put record keepers in their cross hairs
Brokers and investment advisers aren't the only ones who should take the heat for rollover activity
Finally, some social-media ground rules
The SEC's move to define customer review ground rules is good but raises important and difficult questions.
Don’t let high-frequency trading fear overtake clients
Michael Lewis might have done investors a favor in the long run — but hurt them in the…
SEC turns gaze to municipals
Scrutiny is welcome as muni bonds have long been a choice vehicle for tax-free income.
Recoupment of trainee fees impairs industry’s growth
Brokerage firms that pursue reimbursement of training costs from employees who leave are out of step with today's workforce
