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Site Map for December 2015
Date
Title
Dec 31, 2015
India cover story
Dec 30, 2015
How brokers can navigate consolidation in the B-D industry
Dec 30, 2015
Robos will fare well in market volatility with nerves of steel
Dec 30, 2015
The junk-bond correction is not the next financial crisis
Dec 30, 2015
4 adviser takeaways from 'The Big Short'
Dec 30, 2015
What we'll remember about the markets in 2015
Dec 30, 2015
Beware the early distribution penalty
Dec 30, 2015
4 ways to successfully prepare your firm for big tech changes
Dec 30, 2015
DOL fiduciary rule could decimate number of IBDs
Dec 29, 2015
Passive strategies put another mark in the win column in 2015
Dec 29, 2015
DOJ's 'cease fire' on state marijuana laws sparks fresh investment buzz
Dec 29, 2015
Finra to seek a 'significant fine' from MetLife over variable annuity sales
Dec 29, 2015
LPL to pay $1.4 million fine and return investor money for certain nontraded REIT sales
Dec 28, 2015
Credit Suisse CEO targets job cuts, Asia wealth
Dec 28, 2015
Clients need prep for long-term care
Dec 28, 2015
You're quitting? Here's a $10,000 bonus check
Dec 28, 2015
2016 could be a good year for women looking to buy real estate
Dec 28, 2015
Congress set to make popular tax breaks permanent
Dec 28, 2015
Not a born salesperson? Don't worry, prospecting can be taught
Dec 28, 2015
A Diversity Problem
Dec 28, 2015
Four ways to make a breakaway smoother
Dec 28, 2015
Will mutual funds' pay-to-play at brokerages go away?
Dec 23, 2015
Finra names new CEO to replace Ketchum
Dec 23, 2015
Retirement readiness improves, but most Americans' savings still fall short
Dec 23, 2015
RCAP evaluating Docupace's role amid bankruptcy filing
Dec 23, 2015
7 essential leadership traits for 2016
Dec 23, 2015
The bullish outlook for 2016
Dec 23, 2015
Former Morgan Stanley adviser sentenced to three years' probation for data theft
Dec 23, 2015
Cheap oil presents new investment opportunities
Dec 23, 2015
New bills aim to stop DOL fiduciary rule
Dec 23, 2015
Glut of IBDs for sale creating a buyer's market, putting pressure on prices
Dec 23, 2015
Fiduciary liability unclear when selecting and monitoring default retirement investments
Dec 23, 2015
Remind clients you're here to help them avoid costly mistakes
Dec 23, 2015
Boeing settlement underscores advisers' 401(k) responsibility
Dec 22, 2015
SAC's Cohen barred from managing client money until 2018, SEC says
Dec 22, 2015
Morgan Stanley ordered to pay $8.8 million for unsupervised trading
Dec 22, 2015
Making the case for market-timing with humility
Dec 22, 2015
Face time just as important to younger clients
Dec 22, 2015
LPL to pay $750K in latest nontraded REIT case
Dec 22, 2015
Technology for the holidays
Dec 22, 2015
A robo-adviser may be in the works for Morgan Stanley
Dec 21, 2015
Roth vs. traditional 401(k)s: What investors need to consider
Dec 21, 2015
Roth vs. traditional 401(k)s: What to consider for clients
Dec 21, 2015
BlackRock reorganizes leadership again
Dec 21, 2015
The power of infrastructure investing in uncertain markets
Dec 21, 2015
Here's proof the rich really are getting richer
Dec 21, 2015
Get your 0% credit card balance transfer offer before it's gone
Dec 21, 2015
Will companies start paying employees to relocate?
Dec 21, 2015
Nomura to pay $1 billion for stake in American Century
Dec 21, 2015
'Smart beta' tops the list of 2015 financial-term searches
Dec 21, 2015
Hedge funds post worst quarter since 2008 crisis
Dec 21, 2015
BlackRock CEO Fink gives Yellen high marks
Dec 21, 2015
Guggenheim plays the value card with new Dow dividend-focused ETF
Dec 21, 2015
The scary truth: The struggle between who we are and what we want
Dec 20, 2015
Roskam anticipates House approval of bill to stop DOL fiduciary rule
Dec 20, 2015
Are state-run retirement plans a good deal for private-sector workers?
Dec 20, 2015
The case for why the DOL fiduciary rule won't kill IRA rollovers
Dec 20, 2015
LPL faces heavy burden in complying with state settlements over REIT sales
Dec 20, 2015
The danger of reaching for yield
Dec 20, 2015
Robo-advisers demand attention
Dec 20, 2015
Cybersecurity touches clients, staff
Dec 19, 2015
Wall Street volatility may bend, not break, U.S. growth
Dec 19, 2015
Retirees to benefit from Fed's historic rate move
Dec 18, 2015
JPMorgan Chase to pay $4M to settle SEC charges that it misled customers on broker comp
Dec 18, 2015
Commonly overlooked nuances of forgivable notes
Dec 18, 2015
Cantor Fitzgerald ordered to pay $7.3M for allegedly selling unregistered stocks
Dec 18, 2015
How retirees will benefit from historic rate hike
Dec 18, 2015
Rough week doesn't derail the outlook for ETFs
Dec 18, 2015
SEC allows Third Avenue to temporarily freeze redemptions
Dec 18, 2015
Fidelity targeted in another ERISA class-action suit
Dec 18, 2015
Shkreli, CEO reviled for drug price gouging, arrested on securities fraud charges
Dec 18, 2015
As DOL fiduciary clears latest hurdle, advisers expect changes will be made
Dec 18, 2015
Third Avenue fund collapse may be 'much bigger problem' for bond ETFs
Dec 18, 2015
Elderly woman awarded more than $1M in churning case against ex-Morgan Stanley broker
Dec 18, 2015
Broker-dealer settles variable annuity allegations for $475,000
Dec 18, 2015
Rethinking retirement income replacement rules
Dec 18, 2015
Larry Roth takes over helm of RCS Capital Corp.
Dec 18, 2015
F-Squared haunts Virtus as fund distributor pays $16.5M to settle false performance claims
Dec 17, 2015
6 ways the rate hike could be bad for markets
Dec 17, 2015
Third Avenue had no exit plan in place
Dec 17, 2015
Massive spending bill fails to stop DOL fiduciary rule, clearing major hurdle
Dec 17, 2015
Third Avenue fund's meltdown sheds new light on the value of prospectus reading
Dec 17, 2015
Fed ends zero-rate era
Dec 17, 2015
Third Ave CEO Barse departs as fund liquidates - WSJ
Dec 17, 2015
Economists question Fed's rate-rise path after liftoff
Dec 17, 2015
Don't shrug off health care conversations with clients
Dec 17, 2015
Allianz, Pimco targeted in class-action 401(k) suit
Dec 17, 2015
Finra releases revised broker compensation proposal
Dec 16, 2015
New owner of AIG Advisor Group may be announced Tuesday
Dec 16, 2015
Congress moves to delay Obamacare taxes
Dec 16, 2015
Wells Fargo wastes no time hiking its prime lending rate in stride with the Fed
Dec 16, 2015
Whitman's Third Avenue lost managers, assets before fund shut down
Dec 16, 2015
Managed futures funds capitalizing on junk-bond fallout
Dec 16, 2015
LPL cuts workforce, delaying raises for employees in 2016
Dec 16, 2015
Legislators eye strategies that could derail DOL fiduciary rule
Dec 16, 2015
Billionaire Carl Icahn turns up pressure on AIG, seeks management shakeup
Dec 16, 2015
CFP Board, with TD Ameritrade's backing, launches Center for Financial Planning
Dec 16, 2015
AIG Advisor Group on the block
Dec 16, 2015
Finra arbitration cases are down, but the rest of the year may tell another story
Dec 15, 2015
Former Cetera boss named new FolioDynamix president
Dec 15, 2015
New resolution: Create and review your Social Security statement online
Dec 15, 2015
Loss of Social Security file-and-suspend strategy may be overblown
Dec 15, 2015
Loss of file-and-suspend strategy may be overblown
Dec 15, 2015
The bond market selloff has sparked fears that the Fed might not hike rates today
Dec 15, 2015
Variable annuity products get more variable
Dec 15, 2015
Setting adviser social media resolutions for the new year
Dec 15, 2015
Gundlach says time is not right for Federal Reserve to raise rates
Dec 14, 2015
Stocks fall as stimulus doubts persist
Dec 14, 2015
Massachusetts regulator charges securities firm with improper sale to elderly investor
Dec 14, 2015
Fixed indexed annuities notch record sales quarter
Dec 14, 2015
Senators ask Obama to speed up multistate insurance registry
Dec 14, 2015
The junk-bond selloff is raining on the Fed's rate-hike parade
Dec 14, 2015
What it's like being an African-American financial adviser
Dec 14, 2015
Third Avenue blocks redemptions from credit fund amid losses
Dec 14, 2015
Interest rates headed up, but how fast will they rise?
Dec 14, 2015
African-American advisers ID business challenges
Dec 14, 2015
Fixed-indexed annuities soar in popularity
Dec 13, 2015
Smarter tech can mean a better deal
Dec 11, 2015
Feeding the diversity problem
Dec 11, 2015
Third Avenue rattles the junk bond market
Dec 11, 2015
Plan advisers need to take note of the SEC's swing-pricing rule
Dec 11, 2015
Oil drops sharply as glut fears take hold
Dec 11, 2015
Broker claws back $1.2 million from Morgan Stanley in 'significant' promissory note case
Dec 11, 2015
High-yield bond market is teetering on the brink of disaster
Dec 11, 2015
RIA firms have room for more women
Dec 11, 2015
Women's rise to senior positions at advisory firms has stalled
Dec 11, 2015
Morgan Stanley hit with racial discrimination suit
Dec 10, 2015
Warren Buffett's investing dos and don'ts
Dec 10, 2015
Industry, investor advocates clash on bond-price-transparency proposals
Dec 10, 2015
Advisers help plan for taxes, and some for the other sure thing in life: death
Dec 10, 2015
Fear, greed and how to invest regardless of the direction of interest rates
Dec 10, 2015
Universal life cost increases could be 'tip of the iceberg'
Dec 10, 2015
Franklin Templeton's Hasenstab: Bond markets aren't ready for higher U.S. interest rates
Dec 10, 2015
12 predictions about what the Labor Department's fiduciary rule will look like when implemented
Dec 10, 2015
What advisers need to know about the most complex type of annuity
Dec 10, 2015
LPL's Casady could be on the hot seat
Dec 10, 2015
What's the difference between an FSA and an HSA?
Dec 10, 2015
LPL faces reckoning from activist investor
Dec 09, 2015
Wealthbox launches new CRM version with Gmail integration
Dec 09, 2015
Bank teams up with FutureAdvisor to offer clients investment platform
Dec 09, 2015
Correcting the adviser-client disconnect over the definition of risk
Dec 09, 2015
Summers, Roubini warn of premature Fed rate hike
Dec 09, 2015
Take advantage of merger mania with an event-driven strategy
Dec 09, 2015
Robo-advisers can have a positive influence on clients' financial literacy
Dec 09, 2015
Why investing in exclusive alternatives can be an expensive waste of time
Dec 09, 2015
Personal Capital hires investment bank to find buyer, funding - peHUB
Dec 09, 2015
The secret to keeping family money
Dec 09, 2015
How to minimize Medicare surcharges with life insurance and annuities
Dec 09, 2015
Advisers are texting, but are they compliant?
Dec 09, 2015
Debunking 4 common myths advisers have about mutual funds
Dec 09, 2015
Commonwealth Financial builds its own client management system
Dec 09, 2015
Alternative growth strategies for a fearful low-growth world
Dec 09, 2015
Get clients comfortable with 'short-term boring, long-term exciting' investing
Dec 08, 2015
Spreading the blame for oil's freefall
Dec 08, 2015
Donald Trump could spook financial markets in 2016
Dec 08, 2015
Donald Trump could spook financial markets in 2016
Dec 08, 2015
Santa Claus rally? Not if the Grinch has anything to say about it
Dec 08, 2015
Student loans hurt women more than men
Dec 08, 2015
Bob Doll: Bearish arguments for stocks overstate the negatives
Dec 08, 2015
Next target for Galvin? Banks and cross-selling
Dec 08, 2015
Adviser's Consultant: Separate your robo and traditional planning offers to succeed in two markets
Dec 08, 2015
Estate plans require a fresh look
Dec 08, 2015
Working longer for more savings? Don't count on it
Dec 08, 2015
What we can learn from women-led funds that outperform?
Dec 07, 2015
Clinton says new tax plan for wealthy will "go beyond Buffett rule"
Dec 07, 2015
Medicare surcharge letters dampen holiday spirits
Dec 07, 2015
2015 tips for advisers' tech and taxes
Dec 07, 2015
Holiday season not the time to buy retail ETFs
Dec 07, 2015
How to help clients minimize the sting of 2016 Medicare premium rates
Dec 07, 2015
Advisers praise Sanders for highlighting Social Security, doubt his approach
Dec 07, 2015
Former SEC chiefs press current regime to move on fiduciary
Dec 07, 2015
Hillary Clinton gives thumbs up to DOL fiduciary rule
Dec 07, 2015
Pimco on the mend but still feeling impact of Gross exit a year later
Dec 07, 2015
Are HFT and computers to blame for the market's quick drop?
Dec 06, 2015
The cost of independence
Dec 06, 2015
Set one clear annual goal to help you and your team stay focused
Dec 05, 2015
What the jobs report means for the Fed's plan to raise rates gradually
Dec 04, 2015
Department of Labor's lifetime income illustrations at a 'crossroads'
Dec 04, 2015
Hollywood makes it tough on advisers to build trust
Dec 04, 2015
Longevity annuities better deal than bonds, immediate annuities, but lag equities
Dec 04, 2015
Columnist unveils annual 'Lump of Coal' awards for mutual funds
Dec 04, 2015
Manager of a fake hedge fund faces real prison time
Dec 04, 2015
Bonds fall $270B at the start of December
Dec 04, 2015
Looming credit card changes you need to watch out for
Dec 04, 2015
Pimco and Eaton Vance funds hit unsuspecting investors with big capital gains
Dec 04, 2015
3 steps to get going on harvesting those tax losses
Dec 04, 2015
Merrill Lynch is developing its own robo-adviser
Dec 04, 2015
Volatility, rates, currencies bolster case for allocation to global high yield
Dec 04, 2015
Merrill Lynch winning advisers as recruiting tides shift
Dec 04, 2015
Longevity annuities could boost retirement readiness, study finds
Dec 03, 2015
Advisers take heed: Investment crowdfunding coming soon to a client near you
Dec 03, 2015
The goal-setting process Warren Buffett uses to say 'no' and achieve more
Dec 03, 2015
U.S. IPO market on track for slowest month since recession
Dec 03, 2015
Bill Gross's investors yank $74 million from Janus fund in November
Dec 03, 2015
The jobs report probably won't change the Fed's mind on liftoff
Dec 03, 2015
Green energy investing takes center stage
Dec 03, 2015
Pimco Income Fund, managed by Gross successor Ivascyn, sees first inflows since 2013
Dec 03, 2015
Where to begin when planning for clients' 2015 taxes
Dec 03, 2015
Social Security changes present opportunities
Dec 03, 2015
As robo-advice spreads, so should the caution warnings
Dec 03, 2015
How wealth distribution really affects charitable giving
Dec 03, 2015
Is Fidelity's plan to ditch relationship with Betterment and build its own robo too little, too late?
Dec 03, 2015
Merrill team with $2.9 billion joins Raymond James
Dec 03, 2015
Crowdfunding platform borrows a page from private equity
Dec 03, 2015
How advisers can give clients a five-star experience
Dec 03, 2015
5 ways to 'sock' it to your clients
Dec 02, 2015
Wells Fargo CEO Stumpf says firm's wealth-, investment-management business is biggest growth opportunity
Dec 02, 2015
Stocks barely move as investors keep focus on economy and Fed
Dec 02, 2015
Mutual fund outflows add to the pain of capital gains distributions
Dec 02, 2015
Don't let currencies bite you when investing in international equities
Dec 02, 2015
What financial advisers can do for clients beyond picking investments
Dec 02, 2015
JPMorgan under investigation over fund sales
Dec 01, 2015
Danger, Will Robinson! Will robots take over the financial advice industry?
Dec 01, 2015
Hedge funds are waking up to redemptions
Dec 01, 2015
This new ETF tracks the green version of the S&P 500
Dec 01, 2015
A more reachable retirement savings target: 60% of pre-retirement income
Dec 01, 2015
Being nice to your waiter could get you a job
Dec 01, 2015
How U.S. health-care costs stack up against the rest of the world
Dec 01, 2015
How to structure an effective buy/sell agreement for your business
Dec 01, 2015
The real reason holiday office parties are declining
Dec 01, 2015
4 telltale signs you're in a dead-end job
Dec 01, 2015
$25B institutional money manager takes a leap into retail
Dec 01, 2015
SEC's fiduciary standard expected in October 2016
Dec 01, 2015
Betterment hits $3 billion AUM, blows past start-up competition
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