Site Map for July 2016

Date
Title
Jul 29, 2016

New privacy protections make it more complicated to check Social Security online

Jul 29, 2016

DOL fiduciary rule's 'grandfathering' exemption may be lost by changing firms

Jul 29, 2016

Solving the mystery of unexpectedly reduced Social Security benefits

Jul 29, 2016

Social Security reform awaits next president

Jul 29, 2016

With Indiana Gov. Pence on ticket, advisers need to be careful with donations

Jul 29, 2016

How Donald Trump and Hillary Clinton plan to gain access to your wallet

Jul 29, 2016

Insurance broker NFP Corp. to sell its indie broker-dealer unit

Jul 28, 2016

Rob Arnott says cheesy copy cats are hurting smart beta investing

Jul 28, 2016

Philanthropic advisers and firms named as finalists for Community Leadership Awards

Jul 28, 2016

UBS wealth management fees squeezed by global turmoil in second quarter

Jul 28, 2016

How smart are you when it comes to managing your money?

Jul 28, 2016

Investing in the most hated bull market: When your clients say they can't stomach stocks

Jul 28, 2016

Raymond James nabs $7 billion retirement group from Wells Fargo

Jul 28, 2016

Don't discount fixed-income assets

Jul 28, 2016

Vanguard changes management of three funds with combined assets of $24 billion

Jul 28, 2016

LPL's earnings bounce back, but commission revenue continues to erode

Jul 28, 2016

Adviser's Consultant: How to create a wealth transfer process for clients

Jul 28, 2016

Help clients give wisely

Jul 28, 2016

Magnanimous advisers win ninth annual Community Leadership Awards

Jul 27, 2016

Dan Ivascyn, Bill Gross' successor at Pimco, not as flamboyant as the old bond king, but he has produced results

Jul 27, 2016

Adviser relief follows judge's injunction of overtime pay rule

Jul 27, 2016

Strong M&A market for RIAs propels Focus Financial toward possible IPO

Jul 27, 2016

Oil prices rally as Brent crude climbs over $50

Jul 27, 2016

Securities America to pay $1.5 million for mutual fund overcharges

Jul 27, 2016

WestPark Capital CEO says he's adding some brokers from Newport Coast Securities, which he said is closing

Jul 27, 2016

Man Group's Emmanuel Roman named Pimco's new CEO

Jul 27, 2016

National Holdings President Mark Goldwasser is leaving the firm

Jul 27, 2016

Radio show host Ric Edelman rants about raging fiduciary battle

Jul 27, 2016

Congressional sit-in disrupted by failed attempt to override veto of anti-DOL fiduciary rule bill

Jul 27, 2016

Jeffrey Gundlach reaches for bond king crown as DoubleLine's active ETF closes in on Pimco

Jul 27, 2016

LPL, Cambridge and others in 'serious' talks to buy Foothill Securities

Jul 26, 2016

Adviser's Consultant: Outsourcing many compliance duties best move for CCOs

Jul 26, 2016

DOL's rule on state retirement plans arrives at OMB

Jul 26, 2016

Make Medicare easier by using auto pay

Jul 26, 2016

Older Americans working well past retirement age

Jul 26, 2016

Why women tend to outperform men when investing

Jul 26, 2016

Advisers asking DOL for clarification on fiduciary rule's impact on compensation

Jul 26, 2016

Market volatility raises the bar for how much you will need to save for retirement

Jul 26, 2016

5 ways financial advisers can steer clients toward a successful retirement

Jul 26, 2016

Raymond James agrees to $5.95 million settlement with Vermont over alleged compliance failures

Jul 25, 2016

Salesforce expands data analytics in financial services CRM program

Jul 25, 2016

Adviser, insurance groups step up spending on political campaigns

Jul 25, 2016

Deutsche Bank says fiscal stimulus can't save us

Jul 25, 2016

REIT ETFs trouncing stocks thanks to low interest rates and flight to passive investing

Jul 25, 2016

MoneyGuidePro creator releases DOL fiduciary-focused software

Jul 24, 2016

SEC 'temporary' principal trading rule to expire

Jul 24, 2016

3 things financial advisers need to know when serving female clients

Jul 24, 2016

The Fed sits on its hands

Jul 24, 2016

Strategies for dealing with irrational clients

Jul 24, 2016

Bill Gross betting big on Mexican government debt

Jul 24, 2016

Eaton Vance fund loads up on cash after making 15% during bond rally

Jul 24, 2016

Finra, it's high time for transparency

Jul 24, 2016

BlackRock says good luck earning more than 6% returns over the next five years

Jul 24, 2016

Women to Watch 2016: Nominations open for female leaders of the advice industry

Jul 22, 2016

Make Medicare easier by using auto pay

Jul 22, 2016

Take 5: Nuveen's Bob Doll says active managers can beat the indexes

Jul 22, 2016

Investors pour into junk bond ETFs, signaling more upside for stocks

Jul 22, 2016

Jeffrey Gundlach's 'Bond King' crown comes into question

Jul 22, 2016

Hillary Clinton proposes free public in-state tuition for students whose families make less than $125,000

Jul 21, 2016

Retirement plan advisers should keep current clients happy to get new ones: MassMutual study

Jul 21, 2016

Bond investors should be sweating a looming Treasury glut

Jul 21, 2016

More money managers think U.S. equities overvalued: Northern Trust

Jul 21, 2016

RMDs can create future tax savings

Jul 21, 2016

Step aside bears, the market's next growth mode is kicking in

Jul 21, 2016

Republican convention speakers back tax and financial reforms

Jul 21, 2016

Connecticut-based People's United Bank to acquire Gerstein Fisher

Jul 21, 2016

Hottest emerging-markets funds spice things up with Latin America

Jul 21, 2016

Fund flows in June: Fidelity, Franklin Templeton hit with biggest outflows

Jul 21, 2016

Debt dims boomers' retirement prospects

Jul 21, 2016

Building bond ladders for a low-interest-rate world

Jul 21, 2016

Why it does and doesn't matter if fund managers invest in their own funds

Jul 21, 2016

Hillary Clinton rips 'reckless' Donald Trump, says he would drive U.S. economy into a recession

Jul 21, 2016

Under new fiduciary rule, DOL has reason to pay attention to reverse churning

Jul 21, 2016

Feeling financially secure isn't tied to a number on a bank statement

Jul 21, 2016

Why filial laws are a 'sleeping giant' that could prompt long-term-care planning

Jul 21, 2016

Why the DOL fiduciary rule will lead to more ETF innovation

Jul 20, 2016

Beyond Rio: Olympic athletes face financial challenges

Jul 20, 2016

Adviser Olympians offer financial tips to athletes competing in Rio and beyond

Jul 20, 2016

Wells Fargo recruits $400M team from Merrill

Jul 20, 2016

Don't lump all younger high-net-worth clients together

Jul 20, 2016

Betterment reaches $5 billion mark, a first for independent robo-advisers

Jul 20, 2016

American Century employees sue for excessive 401(k) fees

Jul 20, 2016

Dismissal of small 401(k) plan excessive-fee lawsuit 'highly atypical'

Jul 20, 2016

Transamerica settles 401(k) excessive-fee lawsuit with its employees for $3.8 million

Jul 20, 2016

Vanguard CEO Bill McNabb tells advisers to embrace robos or fall behind

Jul 20, 2016

The mobile edge: Moving your business across the digital divide

Jul 20, 2016

Finra proposes rules to restrict political contributions by brokers

Jul 19, 2016

Former Eagles player defrauds football coaches, others out of $6 million

Jul 19, 2016

These cases can save your phone from the brink of disaster

Jul 19, 2016

Franklin Templeton sued by employees for self-dealing in 401(k) plan

Jul 19, 2016

Learning and profiting from Gen X

Jul 19, 2016

New York Life sued by employees claiming excessive 401(k) fees

Jul 19, 2016

Why financial advisers should focus on readiness before growth

Jul 19, 2016

House overwhelmingly approves expanding accredited-investor pool

Jul 18, 2016

Goldman says U.S. investors should keep their portfolios local

Jul 18, 2016

U.S. comes in 14th in global ranking of retirement security

Jul 18, 2016

The fiduciary conundrum of charging lower fees for bond allocations

Jul 18, 2016

U.S. comes in 14th in global ranking of retirement security

Jul 18, 2016

Dallas court schedules hearing for lawsuits against DOL fiduciary rule

Jul 18, 2016

Administrative 401(k) mistakes now cost more

Jul 18, 2016

Trouble ahead? Stock and bond markets sending divergent signals

Jul 18, 2016

How to correct Social Security earnings records

Jul 18, 2016

Brexit forces a dovish Fed into cowering mode

Jul 18, 2016

Investors confused after Janet Yellen ends guidance on next interest rate hike

Jul 18, 2016

Talking about rising interest rates with your clients

Jul 18, 2016

T3 tech conference partners locked in legal fight over profits

Jul 18, 2016

MassMutual turns to video games to boost retirement savings

Jul 15, 2016

Candidates for Finra board want greater focus on regulatory pain of small firms

Jul 15, 2016

A financial adviser's guide to risk management software

Jul 15, 2016

Bill to create universal retirement accounts introduced

Jul 15, 2016

Democrat's financial transactions tax splits adviser ranks

Jul 15, 2016

BlackRock starts off subdued earnings season for fund companies

Jul 15, 2016

Americans in better financial shape, Finra reports

Jul 15, 2016

Bond market is signaling it's time to sell stocks

Jul 15, 2016

Finra loses $39.5 million in 2015 after posting a surplus the year before

Jul 15, 2016

New Finra CEO Cook will feel heat from both sides of the political aisle

Jul 15, 2016

RIAs should charge fees tied to net worth: TD's Tom Nally

Jul 15, 2016

Pershing adds three new robo-advisers in latest push into digital advice

Jul 14, 2016

Indexed annuity sales have best-ever quarter in Q2: Limra

Jul 14, 2016

Firms, technology vendors mobilize on security standards

Jul 14, 2016

What technology lessons advisers can learn from Delta Air Lines' system breakdown

Jul 14, 2016

Jackson National, Prudential cease sale of some L-share variable annuities

Jul 14, 2016

Advisers come out against proposed financial transactions tax

Jul 14, 2016

Does skipping marriage and having kids save money?

Jul 14, 2016

5 steps to elevate the next generation

Jul 14, 2016

Broker-dealers eye level commissions to reduce risk under DOL fiduciary rule

Jul 14, 2016

DOL fiduciary rule will nudge 401(k) advisers to zero-revenue-share fund lineups

Jul 14, 2016

Cybersecurity still worries RIAs the most: Study

Jul 13, 2016

UBS to offer NextShares exchange-traded managed funds

Jul 13, 2016

Finra arbitration panel orders broker to pay $331,000 for unsuitable investments

Jul 13, 2016

Morningstar, American Retirement Association partner on fiduciary program

Jul 13, 2016

The ABC's of the DOL fiduciary rule

Jul 13, 2016

As stock market soars, financial advisers batten down the hatches

Jul 12, 2016

Debt dims boomers' retirement prospects

Jul 12, 2016

DOL fiduciary rule brings different adviser standards to light

Jul 12, 2016

Legg Mason acquires 82% stake in robo-adviser Financial Guard

Jul 12, 2016

Top financial advisers focus on client heirs: Jefferson National survey

Jul 12, 2016

Lessons from a week of highs and severe lows with clients

Jul 12, 2016

Sequoia Financial's deal to buy RAV Financial boosts assets to $3 billion

Jul 12, 2016

RIAs are losing their competitive advantage

Jul 12, 2016

DOL fiduciary rule could spark acquisitions of RIAs as well as broker-dealers

Jul 12, 2016

Industry veterans to head up new wealth unit of Lebenthal Holdings

Jul 11, 2016

Dawn Bennett plays the victim, challenges SEC ruling

Jul 11, 2016

Japan's stock market rally has investors suddenly looking eastward

Jul 11, 2016

SEC approves reforms to in-house process for enforcement cases

Jul 11, 2016

Roth or traditional 401(k)s — Which is better?

Jul 11, 2016

SunAmerica fund picks just 30 stocks once a year and clobbers the competition

Jul 11, 2016

Beaten down financial-sector stocks trigger debate over when to jump in

Jul 11, 2016

Equity precious metals funds are riding higher on Brexit wave

Jul 11, 2016

Report says REIT changes proposed by AR Global would remove investor protections

Jul 11, 2016

Former AR Global REIT director cries foul over potential merger

Jul 11, 2016

Federal judge approves RCAP bankruptcy plan

Jul 11, 2016

Former MetLife, Prudential broker accused of deceptive variable annuity sales practices

Jul 10, 2016

SEC enforcement actions trail last year's record numbers: Study

Jul 10, 2016

Brokers from small IBD with a history of hiring reps with spotty histories on the move

Jul 10, 2016

Decades after being barred, 85-year-old investment fraudster strikes again

Jul 10, 2016

ETF liquidity a growing point of financial industry contention

Jul 10, 2016

Lawmaker wants to give SEC defendants greater rights

Jul 08, 2016

Wyoming poised to scrutinize its RIA industry for the first time

Jul 08, 2016

How financial advisers can rethink alternatives

Jul 08, 2016

Take 5: Oakmark's Bill Nygren sees value in bank stocks

Jul 08, 2016

Inside broker and insurance groups' move to block the DOL fiduciary rule

Jul 07, 2016

Amazon and Wells Fargo latest to team up on student loans

Jul 07, 2016

Personal Capital available to 200 community banks through Alliance Partners

Jul 07, 2016

Brokers becoming a primary distribution focus for life insurers

Jul 07, 2016

Time heals most credit reports following the financial crisis

Jul 07, 2016

House spending bill includes provision to kill DOL fiduciary rule

Jul 07, 2016

DOL clarifies that insurance firms qualify for best-interest contract exemption under fiduciary rule

Jul 07, 2016

Court date set for lawsuit against DOL fiduciary rule

Jul 07, 2016

Managed futures funds took some of the sting out of Brexit

Jul 07, 2016

Democratic platform draft includes financial transactions tax, defense of DOL fiduciary rule

Jul 07, 2016

Treasury bonds beat stocks the past 10 years. You heard it right

Jul 07, 2016

TIAA acquires business-to-business robo-adviser MyVest

Jul 07, 2016

$1.2 billon adviser team leaves Morgan Stanley for Bank of America Merrill Lynch

Jul 07, 2016

Bond shop may have to drop clients due to DOL rule

Jul 06, 2016

401(k) plan advisers take more of an interest in record keepers' cybersecurity practices

Jul 06, 2016

Market volatility raises the bar for retirement income savers

Jul 06, 2016

Finra panel directs N.J.'s Garden State Securities to pay damages to elderly investor

Jul 06, 2016

Moore Capital tells hedge fund manager to pound sand after raucous Hamptons party

Jul 06, 2016

Social Security out of step with many modern families

Jul 06, 2016

Janus' Bill Gross goes off on central bankers, again

Jul 06, 2016

Ameritas to buy Guardian's 401(k) plan business

Jul 06, 2016

This simple retirement spending strategy takes on the 4% rule

Jul 06, 2016

DoubleLine's Jeffrey Gundlach says Donald Trump would be huge for stocks, not so much for bonds

Jul 06, 2016

SEC charges brothers with $2.7 million Ponzi scheme targeting elderly

Jul 06, 2016

Advisers identify wrong state on ADV filings

Jul 05, 2016

Judge's questions show inclination to uphold DOL fiduciary rule

Jul 05, 2016

Building bipartisan support for the Senior Safe Act

Jul 05, 2016

Fed rate-hike bets back on table after strong economic reports

Jul 05, 2016

BlackRock's stock buyback plan at odds with CEO Larry Fink's statements

Jul 05, 2016

Advisers must develop 'simple, repeatable statement of value' to attract clients

Jul 05, 2016

Vanguard awash in new money as investors pour into passive funds

Jul 05, 2016

myMoneyGuide comes back from three-month hiatus with upgrades

Jul 05, 2016

Three states make elder-financial-abuse reporting mandatory starting Friday

Jul 05, 2016

Despite congressional relief, impending Puerto Rico debt default could trip up municipal bond investors

Jul 05, 2016

Betterment's move to halt trading following Brexit vote sparks controversy

Jul 05, 2016

Thomas Perez points to two factors in DOL fiduciary rule's favor to prevail in lawsuits

Jul 05, 2016

What really happens when wealth is transferred

Jul 05, 2016

It's time to make way for next-gen

Jul 05, 2016

The world's richest people lost $19 billion in 2015

Jul 01, 2016

Legislation to impose financial transactions tax introduced

Jul 01, 2016

Don't you wish you could own a piece of Vanguard (the company)?

Jul 01, 2016

SEC Investor Advocate Fleming targets fees charged by advisers

Jul 01, 2016

5 go-to strategies for when market volatility strikes

Jul 01, 2016

Unlike other active funds, First Eagle's fund champions its passion for cash

Jul 01, 2016

Financial advisers reach out to clients as stocks plunge in Brexit wake

Jul 01, 2016

Indicted broker a poster boy for industry critics like Sen. Elizabeth Warren

Jul 01, 2016

Schwab's Sonders and OppenheimerFunds' Memani fear Donald Trump's policies could hurt U.S. economy