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Site Map for November 2014
Date
Title
Nov 30, 2014
How to help clients invest for college without sacrificing retirement
Nov 30, 2014
How to make good use of long-term capital gains
Nov 30, 2014
Why millennials need estate planning too
Nov 30, 2014
Don't ignore estate planning for millennial clients
Nov 30, 2014
Self-directed IRAs hold risks for financial advisers
Nov 30, 2014
After November gains, stocks expected to slip as oil prices extend decline
Nov 30, 2014
If client tests positive, the next step is yours
Nov 30, 2014
Tax facts: The latest on exemptions and exclusions
Nov 30, 2014
How to avoid the unexpected capital gains tax
Nov 30, 2014
This ETF acts like a bond and will give $800 million back to investors
Nov 30, 2014
Why did active fund managers do a bad job picking stocks this year?
Nov 30, 2014
How charitable giving can offset bull market gains
Nov 30, 2014
Reaching out through LinkedIn
Nov 30, 2014
New LinkedIn tool could help advisers with marketing, compliance
Nov 30, 2014
Why employee benefit brokers are teaming with 401(k) advisers
Nov 29, 2014
Why the IRS is toothless in the fight against supersized IRAs
Nov 28, 2014
Advisers find new ways to attract increasingly wealthy population — women
Nov 28, 2014
How one woman collects three types of Social Security benefits
Nov 28, 2014
Rollovers of 401(k)s into pension plans gets government agency backing
Nov 26, 2014
China share ETF suffers record drop amid new debt curbs
Nov 26, 2014
Financial planning issues wrapped into government spending bill?
Nov 26, 2014
Next Financial Holdings' D'Angelo resigns as CEO, chairman
Nov 26, 2014
Keeping emotion out of investing
Nov 26, 2014
India's roaring stock market, and funds that track it, get boost from cheap oil
Nov 26, 2014
China's markets set for global stage
Nov 26, 2014
Government workers get first crack at phased retirement
Nov 26, 2014
Accounting fiasco highlights tangled web behind Nicholas Schorsch's empire
Nov 26, 2014
Wells Fargo settles bonus squabble for $7.4M
Nov 26, 2014
Early detection of Alzheimer's would allow for better financial planning
Nov 26, 2014
Financial advisers take note: Smart money is already hedging against inflation
Nov 26, 2014
Mining stocks shine in gold-price pullback
Nov 26, 2014
Borzi taking a back seat on fiduciary
Nov 26, 2014
CFP Board quietly cutting deals on compensation descriptions
Nov 26, 2014
4 skills that help advisers function like CEOs
Nov 26, 2014
Debate still rages over fee-only issue
Nov 25, 2014
Stocks edge up as focus turns to jobless claims, new home sales
Nov 25, 2014
Hedge funds lag stocks while still charging plenty
Nov 25, 2014
What you can expect from the holiday shopping season
Nov 25, 2014
Mutual funds to face new rules from SEC on portfolio holdings
Nov 25, 2014
Hedge fund performance continues to disappoint
Nov 25, 2014
Madoff scam recovery hits $10 billion, almost 60% of lost money
Nov 25, 2014
IRS losing the battle over mega-IRAs as company founders fill retirement accounts with nonpublic stock
Nov 25, 2014
Commodity Futures Trading Commission teams up with SEC and Finra to combat investor fraud
Nov 25, 2014
Stock market's October slingshot rebound impressive
Nov 25, 2014
Four top dangers to investors in 2015
Nov 25, 2014
Ring out the old year with a bowlful of tax strategies
Nov 25, 2014
SEC charges investment adviser with fraud for not telling clients of fee arrangement with broker
Nov 25, 2014
SEC scrutinizing billionaire hedge fund manager Phil Falcone
Nov 24, 2014
New, easy and free technology to figure out capital gains distributions
Nov 24, 2014
Higher taxes loom for fund investors
Nov 24, 2014
What the Pimco saga can teach advisers
Nov 24, 2014
Brokers' push to fee-based comp slams higher-cost funds
Nov 24, 2014
The economic immigration issue President Obama isn't ready to talk about
Nov 24, 2014
Robo advice meets alternative investments
Nov 24, 2014
Mixing tax time and the holidays
Nov 24, 2014
Rethinking the traditional retirement income glide path
Nov 24, 2014
Bernie Madoff's son leaves more than $15M in his will
Nov 23, 2014
Morningstar is ready to move beyond the style box
Nov 23, 2014
U.S. stocks climb slowly as European shares rally on stimulus hope
Nov 23, 2014
More buyers than sellers in the bond market means yields will remain low in 2015
Nov 23, 2014
Cybersecurity a major priority in independent broker-dealers' 2015 tech budgets
Nov 21, 2014
Some advisers moving to mobile payment systems to bill clients
Nov 21, 2014
Some broker-dealers resume selling Schorsch-related REITs
Nov 21, 2014
Life insurers launching new variable annuities despite tepid sales
Nov 21, 2014
Global buying binge pumps more air into the bond market run
Nov 21, 2014
Despite Steven A. Cohen's investment, RCAP shares face short-term hurdles
Nov 21, 2014
State regulators name top offerings likely to hurt investors in 2015
Nov 21, 2014
Passive fixed-income strategies? Not in today's environment
Nov 20, 2014
Worst stock-picking call in 2014? Shunning Apple
Nov 20, 2014
Shunning Apple tops long list of bad market calls in 2014
Nov 20, 2014
Most advisory firms don't have a strategy for landing client referrals
Nov 20, 2014
Making inherited IRAs work after the Supreme Court's Clark decision
Nov 20, 2014
Stocks set for fifth week of gains with the help of central bankers
Nov 20, 2014
Fidelity researchers dive into virtual reality with StockCity
Nov 20, 2014
Morgan Stanley courts athletes, entertainers with new wealth unit
Nov 20, 2014
Alan Greenspan dishes on fear and inertia
Nov 20, 2014
Despite wrong call this year, investors still forecasting bond bomb
Nov 20, 2014
Caution: New IRS rules for IRA rollovers come with risks for advisers
Nov 20, 2014
Bill Gross' move to Janus not likely to have long-term ripple in bond market
Nov 20, 2014
Big 3 business catastrophes: How to cope with a shock to the system
Nov 20, 2014
IRS sets cost of living adjustments for 2015
Nov 20, 2014
GAO: Accredited investors should work with advisers
Nov 19, 2014
Should companies get a tax break for their health plans?
Nov 19, 2014
Mick Jagger highlights a lesson: Insurance is part of an estate plan
Nov 19, 2014
Fidelity, Pershing, Schwab join suspension of Schorsch REITs
Nov 19, 2014
Schwab sues ex-advisers, RIA over “conspiracy”
Nov 19, 2014
Basketball star who went bankrupt wishes he'd gotten an MBA
Nov 19, 2014
Expungement reform top issue for state regulators this year
Nov 19, 2014
As economy improves, veteran advisers stay put
Nov 19, 2014
Finra kicks out broker-dealer, bars CEO for Ponzi scheme that snared pro athletes
Nov 19, 2014
What top Olympians and top advisers have in common
Nov 18, 2014
Being a traffic cop at the intersection of disability and Social Security benefits
Nov 18, 2014
Economic recovery optimism boosts stock index futures
Nov 18, 2014
How to get the most out of Social Security if you're remarried
Nov 18, 2014
Deconstructing Social Security rules for remarriage
Nov 18, 2014
Investors hit pause button awaiting Fed minutes
Nov 18, 2014
SAC Capital's Steven Cohen increases stake in RCAP
Nov 18, 2014
Financial scams hit a new low via adviser's Ponzi scheme on his mom
Nov 18, 2014
Advisers need to crack fund managers' narrative
Nov 18, 2014
Majority of women claim Social Security early
Nov 18, 2014
The 3 most important things advisers should do when helping clients with dementia
Nov 18, 2014
What to do about dementia? Advice for the adviser
Nov 18, 2014
Bob Doll: The market slips and slides, but the case for equities remains sound
Nov 18, 2014
Wells Fargo to pay $5 million over broker's insider trading
Nov 18, 2014
House passes SEC budget with amendment preventing fiduciary efforts
Nov 18, 2014
Be prepared for coming Alzheimer's crisis
Nov 17, 2014
Amanda Moore is getting life back after finishing CFP exam
Nov 17, 2014
Upstart platform attracts advisory firms with access to alts and capital
Nov 17, 2014
Investor confidence boosts European stocks; U.S. shares flat
Nov 17, 2014
Federal Reserve's next move might not be until 2016
Nov 17, 2014
Tax-planning season gets under way
Nov 17, 2014
RCAP confirms regulatory inquiries
Nov 17, 2014
The long and short of it: Strategies not the same
Nov 17, 2014
What investors really want, need
Nov 17, 2014
Pimco focuses on talent retention as other firms take assets
Nov 17, 2014
TCW's MetWest gains early lead in race for Pimco assets: Morningstar
Nov 17, 2014
Schwab tells advisers its online advice platform won't be a threat to RIA biz
Nov 17, 2014
Pimco Total Return suffers $27.5 billion asset drop in October after Gross exit
Nov 17, 2014
Building a network beyond CPAs
Nov 17, 2014
Fidelity files for nontransparent, active ETFs
Nov 16, 2014
Overseas expansion in the cards for new Loomis Sayles CEO Charleston
Nov 16, 2014
How much luck or skill contributes to investment performance
Nov 16, 2014
Unconstrained bond funds disappoint
Nov 16, 2014
It's time for real industry action on diversity
Nov 16, 2014
Embracing two routes to growth helps draw in assets
Nov 16, 2014
A road map for navigating the changing financial planning landscape
Nov 16, 2014
Stocks decline as Japan falls into recession
Nov 16, 2014
Working around the wash-sale rule
Nov 16, 2014
Nicholas Schorsch's RCS Capital could be facing major changes
Nov 16, 2014
Most Medicare beneficiaries overspend on out-of-pocket costs
Nov 16, 2014
Largest alternatives funds
Nov 16, 2014
Client protection ruse needs to stop
Nov 16, 2014
Best- and worst-performing alternatives funds
Nov 15, 2014
Adviser as the ultimate active manager
Nov 14, 2014
DOL to review documents in 401(k) excessive fee suit
Nov 14, 2014
Do you really need long-term care insurance?
Nov 14, 2014
Stock-index futures gain, indicating an S&P 500 rebound
Nov 14, 2014
Prolific U.S. oil production raises questions about a new tipping point
Nov 14, 2014
Liquid alts suffer big asset drop; MainStay Marketfield takes biggest hit
Nov 14, 2014
Finra survey shows investors want more regulatory protection
Nov 14, 2014
Five tax moves made easier with technology
Nov 14, 2014
Lebenthal taps into a gusher of wealth in oil-rich North Dakota
Nov 14, 2014
Who is pushing – and buying – socially responsible investments
Nov 13, 2014
Stocks, dollar climb but gold drops
Nov 13, 2014
CEO of embattled ETF manager F-Squared steps down
Nov 13, 2014
Economy's biggest casualty? The traditional family
Nov 13, 2014
Morningstar's latest Pimco remarks spark catty comments
Nov 13, 2014
Stock-index futures signal pullback from record highs
Nov 13, 2014
With stock off sharply, Schorsch's RCS Capital says 'We're not ARCP'
Nov 13, 2014
These personality tests help advisers make the right hiring call
Nov 12, 2014
Loomis Sayles promotes president Kevin Charleston to CEO
Nov 12, 2014
When slow Internet happens to fast people
Nov 12, 2014
Game offers a chance to play with the market in 3D
Nov 12, 2014
Crash course in Social Security for gay couples
Nov 12, 2014
ARCP delays third-quarter earnings report
Nov 12, 2014
Supreme Court case could shake up union retiree benefits
Nov 12, 2014
Strong dollar makes a strong case for currency-hedged ETFs
Nov 12, 2014
Stock-index futures flat as investors pause after another record
Nov 12, 2014
Broker-dealers slap a stop order on Nicholas Schorsch's REITs
Nov 12, 2014
Rival Fidelity shows up uninvited at Schwab Impact
Nov 12, 2014
Wealth management a growing force in bank fortunes
Nov 12, 2014
How advisers can get the most out of video
Nov 12, 2014
Ready for prime time: Advisers get into launching their own video series
Nov 11, 2014
LPL advisers' commissions land in their bank accounts one day late
Nov 11, 2014
Republicans expected to tackle retirement issues in 2015
Nov 11, 2014
Wells Fargo Advisors earnings jump on lending
Nov 11, 2014
Promise of ACA's small business initiative falls flat
Nov 10, 2014
Finra CEO Rick Ketchum backs off data collection plan
Nov 10, 2014
Advisers, clients prepping new playbook to handle American Taxpayer Relief Act
Nov 10, 2014
Shorting chickens becomes hot trade after prices surge
Nov 10, 2014
Soros' Quantum puts $500 million with Gross at Janus
Nov 10, 2014
Investor appetite for China A-shares sends ETF assets toward record
Nov 10, 2014
Even as firm stumbled, Pimco paid billionaire Gross $290 million bonus in 2013
Nov 10, 2014
Pimco paid billionaire Gross $290 million bonus in 2013
Nov 10, 2014
97% of women make this Social Security mistake
Nov 10, 2014
Sweet deal at Goldman Sachs lets partners invest alongside the bank
Nov 10, 2014
The new Congress is likely to duck Social Security reform
Nov 10, 2014
How grandparents can help keep college debt down
Nov 10, 2014
Gold's 'dead-cat bounce' is a temporary distraction from an inevitable fall
Nov 10, 2014
U.S. stock futures little changed before jobs data
Nov 10, 2014
Republican victory boosts stocks as the dollar strengthens, gold slumps
Nov 10, 2014
Morgan Stanley hits profitability goal with fewer advisers
Nov 10, 2014
Fidelity targets bruised Pimco, launches actively managed bond ETFs
Nov 10, 2014
Pimco boss shrugs off Gross' exit
Nov 10, 2014
Lawsuit against Financial Engines a red flag for plan sponsors
Nov 10, 2014
Good work: Finra employees make double industry pay
Nov 09, 2014
Wholesalers make hay with Pimco
Nov 09, 2014
A decade later, compliance regime gives firms an extraordinary opportunity
Nov 09, 2014
IRA funds protected in bankruptcy
Nov 09, 2014
Fixed-income firms scramble to capture funds unleashed by Pimco turmoil
Nov 09, 2014
Robos need to get on the ball
Nov 09, 2014
Janus fixed-income chief steps into the spotlight
Nov 09, 2014
Brokerage firms and mutual fund companies need better training for complex products
Nov 09, 2014
New Congress is unlikely to tackle Social Security reform
Nov 09, 2014
Interest rate call: Still 'low for long'
Nov 07, 2014
Brokers can complain to Finra about exams – anonymously
Nov 07, 2014
JPMorgan unwinds B-D clearing biz
Nov 07, 2014
Stock-index futures flat as focus turns to earnings
Nov 07, 2014
Stocks expected flat as investors take breather after election
Nov 07, 2014
Look for the next-gen candidate who interviews you: Expert
Nov 07, 2014
Schorsch is confident in his empire
Nov 07, 2014
Finra's CARDS plan is likely to be a game changer
Nov 07, 2014
Social Security cost-of-living adjustment to rise less than 2% again in 2015
Nov 07, 2014
How are REIT dividends taxed?
Nov 07, 2014
Congressman tells Finra to hold CARDS
Nov 07, 2014
With Medicare signup coming soon, tax bracket management strategies can help clients save
Nov 07, 2014
What is a bond really worth?
Nov 06, 2014
Why advisers are worried about eMoney's acquisition by Fidelity
Nov 06, 2014
John Hancock pushes for liquid alts in retirement plans
Nov 06, 2014
Using technology to change clients who don't want to know anything
Nov 06, 2014
GOP Senate win gives it the clout to change Obamacare
Nov 06, 2014
So you want to meet the family?
Nov 06, 2014
Investors betting on tech
Nov 06, 2014
Vanguard gets record $163.4 billion as investors flock to index funds
Nov 06, 2014
Corporate tax reform would leave advisers, brokers behind
Nov 06, 2014
Nuveen's Bob Doll: Election not a game changer but energy, medical device, defense company stocks could win
Nov 06, 2014
Schwab launches program to boost diversity in RIA industry
Nov 06, 2014
Tax chief tells Congress to renew tax extenders soon or risk filing-season delay
Nov 06, 2014
Get out your calculators: Social Security tax rules are a mind-bender
Nov 06, 2014
Pimco, challenging Jack Bogle, defends active bond management
Nov 06, 2014
Hedge funds jumping into Puerto Rico muni bonds
Nov 05, 2014
Aspiration's liquid-alts fund takes anti-Wall Street vibe, robo-advice to the next level
Nov 05, 2014
RCAP sales slow down in wake of ARCP accounting fiasco
Nov 05, 2014
Focus Financial teams up with top Chicago RIA
Nov 05, 2014
Cambridge joins list of IBDs suspending sale of Schorsch REITs
Nov 05, 2014
Republicans could push for quicker rate hike
Nov 05, 2014
Transition from a practice to a business
Nov 05, 2014
So you want to meet the family?
Nov 05, 2014
U.S. stock-index futures decline with S&P 500 near record
Nov 05, 2014
What Derek Jeter teaches investors about markets
Nov 05, 2014
Who's spending what on political candidates?
Nov 05, 2014
Charles Schwab's robo-adviser ups the pressure on adviser fee structures
Nov 05, 2014
Nicholas Schorsch downplays ARCP's $23M accounting debacle
Nov 05, 2014
Schorsch adds industry veteran Dwyer to RCAP's team
Nov 04, 2014
James Lebenthal, who sold muni bonds to masses, dies at 86
Nov 04, 2014
Bernie Clark's call to action: Advisers must make industry friendly to the young
Nov 04, 2014
Former Fed Chief Ben Bernanke takes stage at Schwab Impact as behemoth RIA conference convenes
Nov 04, 2014
Republicans win big; here's what to expect
Nov 04, 2014
Shocker: U.S. deficit declines to 2.8% of GDP
Nov 04, 2014
Social Security's mind-bending stealth tax
Nov 04, 2014
The GOP has the edge but ...
Nov 04, 2014
Nobody mourns death of QE as demand for Treasuries proves insatiable
Nov 04, 2014
Treasury, IRS OK annuities in 401(k) target date funds
Nov 04, 2014
Lessons learned during my first six months as an adviser
Nov 04, 2014
Figuring out Schorsch's latest deal – or how 1 + 1 = 3
Nov 04, 2014
Duration risk in nontraded REITs: Hiding in plain sight
Nov 03, 2014
Oscars shine light on Alzheimer's and its costs
Nov 03, 2014
Ex-Schwab broker barred for alleged theft of $1 million in office supplies
Nov 03, 2014
Advisers hope GOP Senate will be good for Washington productivity
Nov 03, 2014
Energy sector continues to suffer as oil price declines
Nov 03, 2014
Forget empty nests: more parents cope with full ones
Nov 03, 2014
Two Schorsch companies at odds over $700M deal
Nov 03, 2014
Money managers scraping to catch up to record stock market
Nov 03, 2014
Bill Gross' departure reignites the risks of 'star manager' funds
Nov 03, 2014
Pension funds to put more in long bonds, Fidelity says
Nov 03, 2014
Charles Schwab to launch free 'robo'-adviser next quarter
Nov 03, 2014
TD Ameritrade takes DIY approach to 'robo' trend
Nov 03, 2014
The Fed's QE sleight of hand: Please ignore that $4.5T balance sheet
Nov 03, 2014
Janus CEO Weil hopes for Bill Gross-run ETF
Nov 03, 2014
Bill Gross' exit sparked massive outflows at Pimco
Nov 03, 2014
Markets in a 'bad mood' as S&P 500 gives back year's gains
Nov 03, 2014
Getting a fair shake in arbitration
Nov 03, 2014
Millennials can be a boon to your business
Nov 03, 2014
Advisers on stock selloff: Keep calm, keep diversified
Nov 03, 2014
Where are the next big opportunities in today's market?
Nov 02, 2014
Brokers get a mixed review on how they treat older investors
Nov 02, 2014
Ron Carson's business is a highflier
Nov 02, 2014
Forget the empty nest, parents now fear the costs of a full one
Nov 02, 2014
Scars from past downturns resurface
Nov 02, 2014
Wrangling clients' health care costs in retirement
Nov 02, 2014
Big glitches go beyond the numbers
Nov 02, 2014
Time to move quickly to aid the impaired
Nov 02, 2014
Schwab signs Morningstar to provide equity research, ratings
Nov 01, 2014
Satisfied with Legg Mason turnaround, activist investor Nelson Peltz leaves board
Nov 01, 2014
Bond Cover
Nov 01, 2014
BlackRock, Loomis Sayles replace Pimco at $6B Prudential fund
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