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Site Map for June 2016
Date
Title
Jun 30, 2016
Merrill Lynch hit with multiple fines by SEC, Finra
Jun 30, 2016
The Department of Labor, 401(k)s and technology
Jun 30, 2016
Retirement industry leader calls for united front in Washington
Jun 30, 2016
Private bankers look to profit off the rise of robo-advice
Jun 30, 2016
House passes Puerto Rico debt-crisis plan
Jun 30, 2016
Finra targets variable annuities as 'sweet spot' of scrutiny
Jun 30, 2016
Let brokers be brokers: A response to the lawsuit against the DOL fiduciary rule
Jun 30, 2016
Raymond James involved in $350 million development fraud: SEC-appointed receiver
Jun 30, 2016
Advisers should get behind a bill to strengthen senior financial protection
Jun 30, 2016
Boston RIA hit with $48 million arbitration award
Jun 29, 2016
A hedge fund manager's view of liquid alternative funds
Jun 29, 2016
JPMorgan being schizophrenic on broker poaching?
Jun 29, 2016
It's time to talk about aging and death with your parents
Jun 29, 2016
Pursuing income through lower-risk real estate
Jun 29, 2016
Stocks rebound from the Brexit vote in a show of resilience that should be alarming
Jun 29, 2016
Fidelity takes on Vanguard by cutting prices on index funds, ETFs
Jun 29, 2016
Finra alleges former broker put clients in risky ETFs to hedge against financial doom
Jun 29, 2016
401(k) providers see participant calls surge in wake of historic Brexit
Jun 29, 2016
Social Security cost-of-living adjustment unlikely for 2017
Jun 29, 2016
Biopharmaceutical Fortress Biotech to buy an independent broker-dealer
Jun 29, 2016
College savings plans to lobby for unlimited investment changes
Jun 29, 2016
IRS rethinks rules for savings accounts to care for young people with disabilities
Jun 28, 2016
401(k) investors concentrated in low-cost mutual funds: Investment Company Institute
Jun 28, 2016
SEC fines WFG Advisors $100,000 for overcharging clients in alternative investments
Jun 28, 2016
How the sharing economy can help provide affordable housing in retirement
Jun 28, 2016
Along with advisers, Fidelity, BlackRock and Vanguard urge investors to stay the course
Jun 28, 2016
What to say when clients hate you for advising international investments
Jun 28, 2016
Fidelity blocks opening trades on several ETF products, citing suitability concerns
Jun 28, 2016
The greatest risk to RIAs that's not in their portfolios
Jun 28, 2016
7 steps to crafting an effective marketing story
Jun 28, 2016
How long can advisers get away with not reporting cyber breaches?
Jun 28, 2016
White vows to forge ahead on fiduciary duty, third-party exams despite diminished SEC
Jun 28, 2016
Shift of SEC resources to RIA oversight not likely to stop push for third-party exams
Jun 27, 2016
The safe-haven utilities sector has become extremely overextended
Jun 27, 2016
DoubleLine's Jeffrey Gundlach says gold is the place to be
Jun 27, 2016
Investors loving BlackRock's high-yield bond ETF thanks to Brexit
Jun 27, 2016
How to invest in the new populist era of politics: Merrill Lynch
Jun 27, 2016
Brexit vote whipsaws markets, tests financial advisers' resolve
Jun 27, 2016
Carlyle Group, KKR and other private equity firms target individual investors with interval funds
Jun 27, 2016
Dodd-Frank architect Barney Frank blasts decision to overturn MetLife SIFI status
Jun 27, 2016
With anti-DOL fiduciary rule lawsuits, industry organizations' actions speak louder than words
Jun 27, 2016
SEC plans to propose fiduciary rule next April
Jun 27, 2016
Stifel CEO wants better results from Sterne Agee's independent B-D business
Jun 24, 2016
Small businesses less generous with 401(k) contributions: Vanguard
Jun 24, 2016
Forget about Brexit. The $100 trillion bond market has bigger concerns
Jun 24, 2016
SEC going after advisers for reverse churning
Jun 24, 2016
Why you should stay calm as Brexit roils markets
Jun 24, 2016
Financial Twitter reacts to Brexit vote
Jun 24, 2016
Take 5: Franklin Templeton's Michael Hasenstab says fixed-income yields 'artificially distorted'
Jun 24, 2016
Allianz's Mohamed El-Erian sees 'common element' between Brexit vote, negative rates, strange politics and Fed policy
Jun 24, 2016
Retirement calculators show 'dramatically different' results
Jun 24, 2016
Franklin Templeton's Hasenstab kicks off Morningstar with nod to emerging markets
Jun 24, 2016
Wall Street's fear index rises as global markets face unrest
Jun 24, 2016
Ex-LPL exec joins Edelman as CEO
Jun 23, 2016
Finra fines Lincoln Financial broker-dealer $650,000 for failing to protect client data
Jun 23, 2016
DOL fiduciary rule places risk management software center stage
Jun 23, 2016
Pacific Life expands reach in term life insurance market through Genworth acquisition
Jun 23, 2016
Litigation schedule set for suits against DOL fiduciary rule
Jun 23, 2016
The fate of your retirement could be determined by this election
Jun 23, 2016
If all else fails, blame the sluggish economy on demographics
Jun 23, 2016
How many marriages will really end in divorce?
Jun 23, 2016
Merrill Lynch to pay $415M to settle SEC charges it misused customer cash
Jun 23, 2016
Bond bears licking their wounds as stock funds lag amid low-interest rates
Jun 23, 2016
Jackson National's new variable annuity hints at annuities' future post-DOL fiduciary rule
Jun 23, 2016
$555 million team of advisers jumps to Merrill Lynch from Morgan Stanley
Jun 23, 2016
Bank of America Merrill Lynch to trim mutual fund offerings
Jun 23, 2016
MetLife to pay record Finra fine for misleading annuity customers
Jun 23, 2016
MetLife is second major insurer to exit the brokerage business, in the sale of adviser unit to MassMutual
Jun 23, 2016
How to talk to your clients about their sexual orientation
Jun 23, 2016
How LGBT investors can take advantage of new financial opportunities
Jun 23, 2016
Social Security update for gay couples
Jun 22, 2016
How noncitizens can access Social Security benefits
Jun 22, 2016
Social Security benefits for noncitizens
Jun 22, 2016
U.S. stock futures tumble with global markets on surprise Brexit results
Jun 22, 2016
Active managers brace for shrinking assets and profits
Jun 22, 2016
The high risks facing a low-yield world
Jun 22, 2016
John Oliver and Congress square off over DOL fiduciary rule
Jun 22, 2016
TIAA's Roger Ferguson breaks with rivals to support Obama fiduciary rule
Jun 22, 2016
Former LPL broker suspended for supervisory failure, Finra says
Jun 22, 2016
Senator Elizabeth Warren proposes bill to help workers track down old 401(k)s
Jun 22, 2016
Baby boomers reach required minimum distribution milestone for retirement accounts
Jun 22, 2016
John Oliver's criticism helps fiduciary duty go prime time
Jun 22, 2016
Beating robo-advisers at their own game
Jun 22, 2016
How clients can add $8,000 a year to their retirement income
Jun 22, 2016
GL Capital Partners' former CEO Daniel Thibeault pleads guilty to $15 million fraud tied to loan fund
Jun 21, 2016
Indexed annuity distributors weigh launching B-Ds due to DOL fiduciary rule
Jun 21, 2016
Your retirement calculator might not be accurate
Jun 21, 2016
Changing client records is a recurring problem among breakaway brokers: Finra
Jun 21, 2016
Millennials and life insurance — not their parents' policies
Jun 21, 2016
Royal Alliance lawyers capitalize on Finra's broken BrokerCheck
Jun 21, 2016
Northwestern Mutual survey shows majority of Americans not getting financial advice
Jun 21, 2016
Is Wall Street creating too many products?
Jun 21, 2016
DOL fiduciary rule will lead to increased spending on technology: survey
Jun 21, 2016
Layoffs hit Pimco, GMO as assets shrink amid flight from active management
Jun 21, 2016
Regulators cracking down on broker-dealers for anti-money laundering violations
Jun 21, 2016
Activities every financial adviser should delegate to someone else
Jun 21, 2016
CFP Board sanctions two planners for improper use of 'fee-only' label
Jun 21, 2016
Camardas appeal dismissal of case against CFP Board
Jun 20, 2016
Morningstar brings smart beta into the active-passive debate
Jun 20, 2016
Republican tax plan would reduce brackets, slash investment taxes
Jun 20, 2016
Eight ways to comply with DOL fiduciary rule
Jun 20, 2016
UBS' U.S. wealth management unit posts flat Q1 revenue but record managed account assets a bright spot
Jun 20, 2016
An open letter to a broken industry
Jun 19, 2016
Women-focused robo-adviser SheCapital shuts down
Jun 19, 2016
Investment Adviser Association wants RIA clients designated as accredited investors
Jun 19, 2016
Skeptical advisers should reexamine their attitudes toward reverse mortgages
Jun 19, 2016
Recognize what makes female clients different
Jun 17, 2016
Vanguard's Bill McNabb says firm prepared to cut fees further as low returns loom
Jun 17, 2016
All eyes on alternative funds at Morningstar Investment Conference
Jun 17, 2016
Mutual fund investors continue to suffer from buying high, selling low: Morningstar
Jun 17, 2016
Team building 101: Determine distinct roles and who can best perform them
Jun 17, 2016
John Oliver lambasts U.S. retirement savings system, supports DOL fiduciary rule
Jun 17, 2016
Fiduciary duty finally hits mainstream — and Main Street
Jun 17, 2016
Former star LPL broker who was fired seeking $30M in arbitration claim
Jun 16, 2016
Collective investment trusts rise in popularity as attractive alternatives to mutual funds
Jun 16, 2016
Pimco issues urgent warning about state of commercial real estate market
Jun 16, 2016
Betterment, Wealthfront among fintech leaders at White House tech summit
Jun 16, 2016
BlackRock rolls out Chinese A shares ETF
Jun 16, 2016
Fear of stock market collapse dictating ETF flows
Jun 16, 2016
Want to work past retirement age? You're not alone
Jun 16, 2016
Investors, especially millennials, have unrealistic expectations about annual returns: study
Jun 16, 2016
Wall Street figuring out how to hedge against a Donald Trump presidency
Jun 16, 2016
Pimco plans to cut workforce after drop in assets since Bill Gross' abrupt exit
Jun 16, 2016
DOL must keep dialogue open on fiduciary rule
Jun 16, 2016
Two more industry groups file lawsuits against the DOL fiduciary rule
Jun 16, 2016
Take 5: Vanguard's Jack Bogle says mutual fund industry needs to change
Jun 16, 2016
A widow's Social Security dilemma
Jun 16, 2016
Are the stock indexes signaling who will win the White House?
Jun 16, 2016
Social Security cost-of-living adjustment unlikely for 2017
Jun 16, 2016
How a Brexit will hit U.S. stocks
Jun 16, 2016
Choosing default investment alternatives for 401(k)s requires close due diligence
Jun 16, 2016
Madoff sons' fight over cash continues after their deaths
Jun 16, 2016
Elm Tree Investment Advisors executives charged in $17 million fraud
Jun 15, 2016
XY Planning Network's fintech contest introduces innovative software ideas
Jun 15, 2016
Financial advisers weigh in on the best money advice they received from their dads
Jun 15, 2016
Allianz's El-Erian says the Fed is putting the U.S. economy at risk
Jun 15, 2016
RIAs weigh in on the best financial advice they received from their dads
Jun 15, 2016
Leuthold Group: Long-term stock indicator wildly bullish
Jun 15, 2016
AQR's Asness, Research Affiliates' Arnott agree that a little market timing is okay
Jun 15, 2016
Tensions between Sen. Warren and SEC's White boil over at hearing
Jun 15, 2016
The debate of free versus fee for robo-advisers
Jun 15, 2016
Don't let the fickle Fed hamstring your bond portfolio
Jun 15, 2016
ETF boon under DOL fiduciary rule won't be universal
Jun 15, 2016
What advisers and plan sponsors should include in investment policy statements
Jun 15, 2016
Socially-conscious investing gets a boost from the DOL fiduciary rule
Jun 15, 2016
DOL supports ESG fund use in 401(k) plans
Jun 15, 2016
5 sustainable investing mistakes you don't want to make
Jun 14, 2016
Do this before you apply the science of investing
Jun 14, 2016
'Brexit' campaigns suspended after British lawmaker killed in shooting
Jun 14, 2016
MSCI won't add China equities to global benchmark indexes
Jun 14, 2016
71% of U.S. households fall below the $100,000 asset threshold for advisers
Jun 14, 2016
State Street execs expect retirement savings law by 2018
Jun 14, 2016
Less than perfect credit? No mortgage for you
Jun 14, 2016
Who's keeping track of IRA basis?
Jun 14, 2016
Mutual fund born during Great Depression proves the value of buy-and-hold
Jun 14, 2016
Franklin Templeton joins Fidelity, Goldman and John Hancock in launching strategic beta ETFs
Jun 14, 2016
U.S. stock market getting closer to a 'melt up,' says HSBC
Jun 14, 2016
A tale of two Chinas: one old, one new
Jun 14, 2016
Pull clients back from obsessing over the markets
Jun 14, 2016
CFP Board halts program to tack donation onto certification dues to fund its new center
Jun 13, 2016
As the industry evolves, how will you use your time?
Jun 13, 2016
MassMutual settles 401(k) suit with its employees for $31 million
Jun 13, 2016
Former FDIC chairwoman Sheila Bair joins retirement robo's advisory board
Jun 13, 2016
Microsoft to acquire LinkedIn in $26.2 billion deal
Jun 13, 2016
Microsoft-LinkedIn deal could boost adviser productivity, expand client base
Jun 13, 2016
Changes in reverse mortgages give advisers new tools in retirement planning
Jun 13, 2016
Bill Gross' Janus fund reaps biggest inflow in more than a year
Jun 13, 2016
Finra failing to protect investors from bad advisers, Senator Elizabeth Warren says
Jun 13, 2016
Get the most out of your next staff retreat
Jun 13, 2016
An original critic, Finra's Ketchum praises improvements in final DOL fiduciary rule
Jun 13, 2016
LinkedIn ProFinder links financial advisers with prospective clients
Jun 13, 2016
What's on tap in 2016 for adviser regulation?
Jun 12, 2016
Attention baby boomers: Time to start taking your required minimum distributions
Jun 12, 2016
The case for favoring revenue bonds over general obligation bonds
Jun 12, 2016
Firms on the hook for hiring bad brokers
Jun 12, 2016
DOL fiduciary rule can also be applied to insurance
Jun 10, 2016
The most important part of a young person's estate plan
Jun 10, 2016
Deadline for disclosure of foreign bank accounts approaches, grace period narrows
Jun 10, 2016
Global bond yields drop to record levels on weakening growth outlook
Jun 10, 2016
How to prepare for the aftermath of a loved one's death
Jun 10, 2016
Why giving every 21-year-old $16,500 may solve America's retirement crisis
Jun 10, 2016
George Soros embraces his inner bear
Jun 10, 2016
Obama vetoes resolution against DOL fiduciary rule; court sets date for NAFA's lawsuit
Jun 10, 2016
Advisers beware: Another Roth IRA scam backfires
Jun 10, 2016
What the loss of Prince can teach us about estate planning
Jun 10, 2016
401(k) savings options come with tax consequences
Jun 09, 2016
Adviser case against RIA and Redtail highlights lack of data ownership rules
Jun 09, 2016
Advisers to start recommending ABLE plans to clients
Jun 09, 2016
Registered investment adviser with $300M in assets joins HighTower
Jun 09, 2016
Most recent retirees do not regret claiming Social Security early
Jun 09, 2016
Broker-dealers face rising compliance costs from DOL rule, pricing competition from robo-advisers
Jun 09, 2016
Invesco, Longleaf funds stashing cash as bear market cushion
Jun 09, 2016
Software to make compliance easy for financial advisers
Jun 09, 2016
Insurance groups ACLI and NAIFA sue DOL over fiduciary rule's impact on annuities
Jun 09, 2016
How to optimize Medicare for those who have served in the military
Jun 09, 2016
Social Security, divorce and remarriage
Jun 09, 2016
SigFig raises $40 million in funding, led by Eaton Vance, asserting industry interest in robo-advisers
Jun 09, 2016
Guaranteed ways to boost your credit score
Jun 09, 2016
The DOL fiduciary rule will forever change financial advice, and the industry has to adapt
Jun 09, 2016
With mergers poised to increase, are you ready for the next step?
Jun 09, 2016
Pershing expands its digital advice with NextCapital partnership
Jun 08, 2016
Bill Gross highlights the dirty downside of negative interest rates
Jun 08, 2016
House Democrats sponsor bill for universal retirement coverage
Jun 08, 2016
Other wirehouses unlikely to follow UBS lead in scaling back recruitment
Jun 08, 2016
BlackRock developing green bond funds as Pimco urges caution
Jun 08, 2016
Our legal challenge to the DOL: Making our voices heard in court
Jun 08, 2016
The CFA exam's toughest question: Is it worth it?
Jun 08, 2016
Advisory firms should prep for DOL fiduciary rule while court challenges proceed
Jun 08, 2016
Jun 08, 2016
TD's Skip Schweiss to RIAs: Don't shrug off DOL fiduciary rule
Jun 08, 2016
Struggling active managers face the reckoning
Jun 08, 2016
DOL official cancels appearance at IRI following industry lawsuit
Jun 08, 2016
T. Rowe Price to pay out $194 million to shareholders in four mutual funds, other clients
Jun 08, 2016
NAFA files second lawsuit against DOL fiduciary rule
Jun 08, 2016
Lawsuit against DOL fiduciary rule seen as 'weak' by some observers
Jun 08, 2016
For some advisers, money not motivating factor to go independent
Jun 07, 2016
Hackers are targeting tax professionals as October deadline approaches, IRS warns
Jun 07, 2016
How software can help smooth the transition to fiduciary-rule compliance
Jun 07, 2016
Finra orders Oppenheimer & Co. to pay $2.9M for unsuitable sales of nontraditional ETFs
Jun 07, 2016
SEC fines Morgan Stanley $1 million for data-protection failures
Jun 07, 2016
4 ideas for how advisers can reduce repetition with technology
Jun 07, 2016
Variable annuity sales drop to lowest level in 15 years: LIMRA
Jun 07, 2016
Hillary Clinton's hedge fund ties get trimmed by one
Jun 06, 2016
A widow's Social Security dilemma
Jun 06, 2016
The ETF liquidity mirage
Jun 06, 2016
With ETrade's robo-adviser, humans are in charge
Jun 06, 2016
Diversifying the portfolio with real estate investments
Jun 06, 2016
Senators Elizabeth Warren and Mike Lee introduce bill to help graduate students save for retirement
Jun 06, 2016
T. Rowe Price makes a $190 million misstep
Jun 06, 2016
Pimco's new catchphrase to sum up the global economy: stable, but not secure
Jun 06, 2016
Lawsuit could force delay to DOL fiduciary rule implementation
Jun 06, 2016
Two sides of the DOL fiduciary rule's 'Best Interest Contract Exemption' advisers must understand
Jun 06, 2016
Adviser's Consultant: Be creative when hunting for new clients
Jun 06, 2016
DOL official: Agency will consider changes to fiduciary rule if problems arise
Jun 06, 2016
Reinforcing the culture of compliance, industry-wide
Jun 06, 2016
The Fiduciary Journey
Jun 06, 2016
Weeding out rogue brokers
Jun 06, 2016
Wall St. critic Warren grills Finra's Ketchum on regulator's ability to protect investors
Jun 05, 2016
Make clients aware of filial laws that could wreak havoc on the financial security of millions
Jun 05, 2016
Time to talk about financial wellness
Jun 03, 2016
Investors need to get smarter about their money post-DOL fiduciary rule: panel
Jun 03, 2016
Megacaps now S&P 500's curse as smart beta gets payback
Jun 03, 2016
Finra's BrokerCheck link mandate for adviser websites effective today
Jun 03, 2016
Fidelity 401(k) lawsuit could up ante for plan advisers
Jun 03, 2016
Serving as trustee could put you at risk
Jun 03, 2016
Stop lying to yourself about value investing
Jun 03, 2016
Perez, Norquist and others react to anti-DOL fiduciary rule lawsuit
Jun 03, 2016
American Funds' platform puts target-date funds under a microscope
Jun 03, 2016
Stock sellers got burned in May but volatility set to return in June
Jun 03, 2016
Finra fines Raymond James a record $17 million for failures in anti-money laundering program
Jun 03, 2016
Charles Schwab to cut its version of Salesforce in July
Jun 02, 2016
How credit access affects your job search
Jun 02, 2016
Nine groups file lawsuit to strike down 'capricious' DOL fiduciary rule
Jun 02, 2016
Plan to keep working into your 70s? You're not alone
Jun 02, 2016
Jamie Dimon says JPMorgan can offer free robo-advice to best clients
Jun 02, 2016
Lawsuit against DOL fiduciary rule could delay implementation indefinitely
Jun 02, 2016
Digital advice is poised to become the apple of asset managers' eyes
Jun 02, 2016
Help more women succeed as financial planners
Jun 01, 2016
Today's jobs report might disappoint, but it won't likely move the Fed
Jun 01, 2016
Lynn Tilton's challenge to SEC hearings rejected by appeals court
Jun 01, 2016
DoubleLine's Jeff Gundlach names deputy CIO as assets reach $100 billion
Jun 01, 2016
Don't fear the robo: Some millennials like working with human financial advisers
Jun 01, 2016
Energy funds iPath, VanEck and Highland soar as oil rebounds above $50 a barrel
Jun 01, 2016
3 apps to help advisers stay on task while traveling
Jun 01, 2016
Passive funds see big inflows in April
Jun 01, 2016
Retirees need 70% of income, but most live on less
Jun 01, 2016
Err on the side of caution with DOL fiduciary rule, Phyllis Borzi advises
Jun 01, 2016
This $120 investment could make a huge difference for a financial adviser's practice
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