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The Fed and the SEC: Perfect together
The Federal Reserve Board and the Securities and Exchange Commission met last week to hash out a way to fill the regulatory gaps revealed by the mortgage bubble and its consequences.
Proper structuring of beneficiary designations on TOD accounts avoids unintended consequences
Smart advisers don’t rely on a client’s memory about beneficiary designations; they ask to see paperwork, and not…
When clients are knowledgeable
Do you know as much about retirement distribution planning as your clients and prospects?
SEC gets a B+ for credit-rating reform
Despite criticism by some in the financial services industry, the Securities and Exchange Commission's proposals for reforming the credit rating agencies deserve a grade of B+.
The delicate issue of divestiture
More and more financial advisers are likely to be confronted with client demands for the divestiture from their portfolios of the stocks of companies that fail some moral screen.
Protect your clients by getting to know their children
Establishing a working relationship with your clients’ children is often in the clients’ best interest as they move…
A warning light for fiduciaries
If there were a color-coded advisory system for fiduciaries, it now would stand at yellow, flashing “elevated risk.”
Past decade was traumatic for investors
The past decade, the first for InvestmentNews, has been a traumatic one for investors.
How it all started for InvestmentNews
In the early 1990s, when I was in London, I ran across a weekly trade newspaper titled Money Marketing, aimed at British investment advisers.
Harvest your capital gains?
A mantra of tax-efficient investing is to harvest capital losses and defer all gains.
Fed needs to strengthen the dollar
Fix the dollar, and a lot of other problems will disappear — or at least be eased.
Ignoring Medicare enrollment rules can cost your client plenty
Every adviser with clients who are nearing retirement should start talking to them at least six months before…
SEC cannot do more with less
What a time to be tightening the Securities and Exchange Commission's budget.
Tax stimulus may cause IRA headache
Some taxpayers who requested a direct deposit of their tax refund into an individual retirement account may be in for unpleasant surprises.
Industry must address adviser shortage
Has anyone noticed that the financial advisory industry is shrinking?
Six tax-lowering ideas for retirement income portfolios
Because the odds of retirement income portfolio survival can be influenced by small changes in distribution rates, reducing…
Health care is part of wealth care
What would be the financial consequence if one of your clients lost his or her physical and/or mental independence?
Wanted: An economically savvy candidate
What this country needs is a presidential candidate who understands and cares about economics.
A duty to monitor proxy voting
Upon the conclusion of a talk about achieving fiduciary excellence that I delivered April 28 at the Mountain States Public Employee Retirement Systems Forum in Denver, and sponsored by the Investment Management Network LLC of New York, an attendee approached me and asked, “What are my obligations as an investment committee member with respect to voting proxies?”
Let the HSA experiment run its course
The House of Representatives is trying to cripple the experiment with health savings accounts by burdening it with extra layers of bureaucracy.
