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Know the VA or stay away
Here’s another investment vehicle that should come with a very detailed warning label. In the wake of the…
The inexorable shift away from the wirehouses
Rudy Adolf of Focus Financial says strong wealth management relationships are about trust, and the bond of trust with the client has been broken
Five years later, what have we learned?
Five years after the financial crisis, financial advisers need to do some soul searching and ask themselves, now that the smoke has cleared, what lessons have been learned?
Ignorance is not bliss
Sooner or later, there is going to be a bloodletting in the bond market and it's up to advisers to make sure their clients don't get caught in the middle of it. Now.
Time to dust off your continuity plan
The time to check your business continuity plan isn't when it needs to be implemented, but when things are calm. Like now.
Make industry more appealing to women
Women have made enormous strides in the economic life of the U.S., but they have not yet made…
The next ETF juggernaut?
With 15 ETFs in the pipeline, Fidelity is poised to take on Pimco and Vanguard.
White needs to tackle the tough stuff
MARY JO WHITE has just completed her first 100 days as chairman of the Securities and Exchange Commission…
Finra rule change increases transparency
Transparency can’t be one-sided FINRA, WITH SEC approval, has opted for greater transparency in disciplinary actions against…
Jim Pavia: My last column for InvestmentNews
After a decade-long run, it's time to go
Allowing ads will entrap many investors
In a victor for Wall Street and a setback for investors, the Securities and Exchange Commission last week…
The future of advice
Three industry leaders and IN editor Fred Gabriel chat about the forces that are shaping the advisory business. Also: 10 advisers who transformed the business
The many perils of munis
The muni bond market can be fertile investment ground but advisers need to watch where they invest. Why? Exhibit A: The SEC's suit against Harrisburg, Pa.
Once brokers are out, keep them out
Like a bad penny, reps who've been kicked out of the advice business keep reappearing on the scene.
Carve-outs, contingencies and exceptions
Are brokers winning the battle over a uniform fiduciary standard? Many SEC watchers believe they are, and they…
Educate clients about money funds
Like it or not, the SEC is pushing ahead with yet another reform of the $2.6 trillion money…
Help clients read and vote on proxies
If nothing else, last week’s vote by JPMorgan Chase & Co.’s shareholders to allow Jamie Dimon to retain…
Urge clients to read proxy statements, vote
Financial planners and investment advisers can help investors and, in turn, corporate governance in the United States
