Site Map for September 2016

Sep 30, 2016

Judging the presidential candidates by the CFP Board's standards of conduct

Sep 30, 2016

Thrivent Financial files sixth lawsuit against DOL fiduciary rule

Sep 30, 2016

Morgan Stanley broker sentenced for Grand Central insider-trading scheme

Sep 30, 2016

IMCA and Yale team up to offer the group's trademark accreditation

Sep 30, 2016

Don't discount public company disclosures in fiduciary process

Sep 30, 2016

Creating estate plans for elderly clients with fading mental competency

Sep 30, 2016

Deutsche Bank shares rise on report of $5.4 billion deal with Justice Department

Sep 30, 2016

Hedge funds are becoming irrelevant

Sep 30, 2016

Attrition fears play into broker-dealers' hesitation to detail new commission schedules under DOL fiduciary rule

Sep 30, 2016

State regulators reveal top enforcement targets and the price they pay

Sep 30, 2016

Investment adviser to plead guilty to running a $21 million Ponzi scheme

Sep 29, 2016

Adviser suspended for five years for overcharging clients

Sep 29, 2016

Secrets for successfully retiring before 65

Sep 29, 2016

Scottrade working with adviser to explore sale: sources

Sep 29, 2016

Expect higher than average capital-gains distributions this year: Morningstar

Sep 29, 2016

What a Trump or Clinton presidency would mean for your money

Sep 29, 2016

SEC charges broker with fraudulently raising $3.2 million for his failing mutual funds

Sep 29, 2016

Applause, please: Financial advisers win Community Leadership Awards

Sep 29, 2016

Financial advisers' business models need changing to win over millennial clients: expert

Sep 29, 2016

Alan Greenspan joins RIA firm Advisors Capital Management

Sep 29, 2016

BlackRock's Larry Fink: Money managers must help companies focus on long-term thinking

Sep 28, 2016

More than half of the student-loan borrowers regret going into debt

Sep 28, 2016

More than half of the student-loan borrowers regret going into debt: Finra study

Sep 28, 2016

Fidelity's billionaire Johnson family vs. the average investor

Sep 28, 2016

Social Security timing can affect Medicare premiums

Sep 28, 2016

Nationwide to buy Jefferson National

Sep 28, 2016

Tiger Management's Julian Robertson: Hedge funds are facing the most challenging time ever

Sep 28, 2016

How advisers can explain investing done right

Sep 28, 2016

For ETF providers, penetrating target-date fund market a challenge

Sep 28, 2016

DOL fiduciary rule expected to put new pressure on mutual fund expenses

Sep 28, 2016

Fidelity's eMoney introducing DOL fiduciary compliance functions for advisers

Sep 27, 2016

More dark clouds loom over Wells Fargo

Sep 27, 2016

Investors continue their love affair with dividend-paying stocks

Sep 27, 2016

Advice industry gets social during Clinton-Trump debate, talks taxes, economy

Sep 27, 2016

SEC fines Merrill Lynch $12.5 million for lapses causing mini-flash crashes

Sep 27, 2016

Take 5: Vanguard's global chief economist Joe Davis says 1% interest rates the new normal

Sep 27, 2016

Tech-tardy advisers, prepare for a late-adopter penalty

Sep 27, 2016

SEC gets staff recommendation to allow third-party exams

Sep 27, 2016

Morgan Stanley team managing $600 million in assets joins Wells Fargo

Sep 27, 2016

Emerging markets debt funds soar in popularity

Sep 27, 2016

$2.2 billion adviser team defects from Morgan Stanley to go independent

Sep 27, 2016

Morgan Stanley team with $427M in assets jumps to Wells Fargo

Sep 26, 2016

Deutsche Bank turmoil exposes ETN counter-party risk

Sep 26, 2016

Advisers may drop lower- and middle-income clients due to DOL fiduciary rule: NAIFA survey

Sep 26, 2016

Morgan Stanley adviser who managed $240M in assets jumps to Merrill Lynch

Sep 26, 2016

Here's what Wall Street is looking for in the first presidential debate between Hillary Clinton and Donald Trump

Sep 26, 2016

College financial aid process begins Saturday

Sep 26, 2016

Financial industry rhetoric riles DOL officials

Sep 26, 2016

Social Security timing can affect Medicare premiums

Sep 26, 2016

Franklin Templeton's Michael Hasenstab: How to navigate emerging markets

Sep 26, 2016

SEC charges duo in defrauding seniors and others in $20 million penny-stock scam

Sep 26, 2016

Insurers cite broker-dealer annuity requirements as 'big issue' under DOL fiduciary rule

Sep 26, 2016

Advisers say this part of Hillary Clinton's estate-tax plan is worse than the higher rate

Sep 26, 2016

Brokerages walking away from arbitration awards

Sep 26, 2016

United Capital buys Westport Resources Management's private client group

Sep 26, 2016

SEC's courts still appear biased

Sep 26, 2016

Federal court denies Ray 'Buckets of Money' Lucia's appeal to SEC ban

Sep 26, 2016

Securities America to acquire independent broker-dealer Foothill Securities

Sep 26, 2016

Barred 'Buckets of Money' radio host adviser gets boost from split SEC

Sep 25, 2016

Hillary Clinton vs. Donald Trump: Who are you voting against?

Sep 25, 2016

Evaluating target-date funds through the prism of the DOL fiduciary rule

Sep 25, 2016

Grappling with retirement health costs

Sep 25, 2016

IRS more lenient on 60-day rollover

Sep 25, 2016

2016 Community Leadership Awards finalists named

Sep 23, 2016

Morgan Stanley: DOL fiduciary rule turns brokerage business into a buy

Sep 23, 2016

Securities America acquires another broker-dealer

Sep 23, 2016

Tonight's presidential debate puts the markets on edge

Sep 23, 2016

Fees fell by as much as 10% last year in investment advisory services

Sep 23, 2016

AdvisorShares files for active ETF with performance fees

Sep 23, 2016

How advisers can best deal with the death of a client

Sep 23, 2016

How to overcome the drag Hillary Clinton's tax plan would create

Sep 23, 2016

SEC should refrain from branding advisers as fraudsters over poor continuity planning

Sep 23, 2016

Investors pile in as REITs move closer to S&P 500 sector status

Sep 23, 2016

Finra's arbitration process: Challenging the system to find the right answers

Sep 23, 2016

Standard & Poor's gives REITs own sector, the first new one since 1999

Sep 23, 2016

Real estate valuations likely to cap REIT returns

Sep 22, 2016

Republican lawmakers attempt to stop estate-tax regulation

Sep 22, 2016

Should you — or your clients — trust your gut when trading?

Sep 22, 2016

This money tip could keep your marriage alive

Sep 22, 2016

Leon Cooperman, accused of insider trading by SEC, had costly dealings with Cohen family

Sep 22, 2016

Legislation supporting multiple employer plans could become reality by year-end

Sep 22, 2016

Calling out the Federal Reserve's political leanings

Sep 21, 2016

The downside of negative interest rates

Sep 21, 2016

Morgan Stanley urges advisers to embrace female-friendly investment strategies

Sep 21, 2016

What top advisory firms do right when it comes to technology

Sep 21, 2016

New study documents mistakes by Social Security Administration staff

Sep 21, 2016

What Brad and Angelina's split has in common with your divorce

Sep 21, 2016

DOL fiduciary rule to cost the securities industry $11B by 2020: study

Sep 21, 2016

TIAA puts all real estate business under one unit

Sep 21, 2016

Selling annuities under the DOL fiduciary rule is a whole new ballgame

Sep 21, 2016

Top hedge fund forecasts biggest market correction since 2008

Sep 21, 2016

Senate committee unanimously approves bill to ease use of annuities in 401(k) plans

Sep 21, 2016

TD Ameritrade founder Joe Ricketts discovers a new love for Donald Trump

Sep 21, 2016

Opponents of DOL fiduciary rule hurt by Wells Fargo woes

Sep 21, 2016

Education, training programs crop up as DOL fiduciary rule looms

Sep 21, 2016

DOL official downplays advisers' lawsuit fears stemming from fiduciary rule

Sep 20, 2016

What it takes to become an enterprise advisory firm

Sep 20, 2016

Why the 9-to-5 schedule is zapping your business's productivity

Sep 20, 2016

Liquid alternative funds failed to prove their worth post-Brexit?

Sep 20, 2016

Finra bars broker who was named to inherit 91-year-old customer's waterfront condo

Sep 20, 2016

GAO study documents mistakes by Social Security Administration staff

Sep 20, 2016

Investors pour into MFS' actively managed stock funds

Sep 20, 2016

Managed payout funds a tough sell to investors

Sep 20, 2016

As growth rate wanes, firms must get better at turning opportunities into new clients

Sep 19, 2016

The race for lower fees shines a light on smart beta

Sep 19, 2016

Clients worried about inflation? Here's what to tell them

Sep 19, 2016

Paying for retirement planning in a low return world: Are advisers worth the cost?

Sep 19, 2016

In unusual upset of an incumbent, Finra board elects new small-seat representative

Sep 19, 2016

Why traditional economic indicators failed so many this cycle

Sep 19, 2016

Smart beta finds fixed income

Sep 18, 2016

Alan Greenspan is committed to ending Dodd-Frank

Sep 18, 2016

Advisers face big challenges in helping clients prepare for health-care costs in retirement

Sep 18, 2016

Top 20 life insurance firms ranked by direct premiums, market share

Sep 16, 2016

Deutsche Bank's shares, bonds decline after rebuffing Justice Department's $14 billion probe claim

Sep 16, 2016

Advisers reveal cyber insecurities at FPA conference

Sep 16, 2016

Reforms could solve Social Security funding woes

Sep 16, 2016

Will the state take your client's IRA? It can

Sep 16, 2016

Financial-advice firms see record 2015 earnings yet slowest growth since crisis, study shows

Sep 16, 2016

Blackstone jumps into nontraded REIT market

Sep 16, 2016

Nontraded REIT sales fall off a cliff as industry struggles to adapt

Sep 15, 2016

Jack Bogle looks back on the 40th anniversary of the index fund

Sep 15, 2016

As investors pile into junk bonds a familiar bubble is forming

Sep 15, 2016

W.P. Carey CFO Hisham Kader to resign; ToniAnn Sanzone appointed interim chief financial officer

Sep 15, 2016

Old school fund companies Goldman, JPMorgan wade deeper into ETF market

Sep 15, 2016

Think twice before abandoning bonds

Sep 15, 2016

Your pay could suffer in the wake of your company's corporate scandal

Sep 15, 2016

Alternative assets demand attention

Sep 15, 2016

Here's where rising incomes have made buying homes more affordable

Sep 15, 2016

SEC permanently bans fraudster Andrew Caspersen from industry

Sep 15, 2016

Sallie Krawcheck's Ellevest raises $9 million from group including Venus Williams

Sep 15, 2016

Voya's new CEO looks to offer more customized strategies through alternatives offerings

Sep 15, 2016

Take 5: New NASAA leader Mike Rothman emphasizes collaboration, data analytics

Sep 15, 2016

Advisers are ignoring the fastest growing wealth demographic

Sep 15, 2016

Hedge funder calls the bond market the mother of all bubbles

Sep 15, 2016

Ex-CFO at REIT formerly controlled by Nicholas Schorsch indicted

Sep 15, 2016

Pimco dismisses Bill Gross' claim a September rate hike is coming

Sep 14, 2016

Bond market sell-off resembles sequel of 'taper tantrum': JPMorgan Chase

Sep 14, 2016

Fintech to make financial advisers better behavioral coaches

Sep 14, 2016

Betterment rebrands in bid to attract advisers

Sep 14, 2016

Voya targeted in 401(k) fee suit hinging on relationship with Financial Engines

Sep 14, 2016

Financial advisers navigate Federal Reserve comments and Hillary Clinton's health

Sep 14, 2016

Markets, financial advisers get nervous as Donald Trump closes in on Hillary Clinton

Sep 14, 2016

How Social Security benefits are calculated

Sep 14, 2016

Big hurdles face Robert Moore as he takes reins at Cetera Financial Group

Sep 14, 2016

New Congressional bill addresses Medicare enrollment confusion

Sep 14, 2016

Cetera Financial plucks new chief financial officer from LPL Financial

Sep 14, 2016

Appointment of former LPL exec Robert Moore to Cetera's board could help embattled B-D restore its brand

Sep 13, 2016

Why you should still be worried about big-bank failures

Sep 13, 2016

Wave of new strategic beta ETFs make passive investing more complicated

Sep 13, 2016

Private-equity firms ramp up M&A in RIA industry, Charles Schwab report shows

Sep 13, 2016

Advisers managing $550 million leave Merrill Lynch to create RIA in Florida

Sep 13, 2016

U.S. House Republicans advanced bill to kill Dodd-Frank

Sep 13, 2016

State Farm, citing DOL fiduciary rule, cuts agents from mutual fund and variable annuity sales

Sep 13, 2016

Stifel claws back $440,000 as brokers struggle to win Finra arbitration

Sep 13, 2016

Stifel selling off Sterne Agee independent broker-dealer business it acquired last year

Sep 13, 2016

Stifel Financial buys back $91 million of its depressed shares

Sep 12, 2016

Americans fear the next president more than terrorism: survey

Sep 12, 2016

The presidential election fear factor puts economy at risk

Sep 12, 2016

Empower evolving 401(k) defaults with TDF-managed account hybrid

Sep 12, 2016

State regulators say brokers must step up prevention of elder financial abuse

Sep 12, 2016

Government Accountability Office pushes DOL to update 401(k) annuity rules

Sep 12, 2016

SEC Chairwoman Mary Jo White says agency mulling fiduciary duty

Sep 12, 2016

Adviser pricing for ultrawealthy clients is under pressure

Sep 12, 2016

BlackRock urges regulators to increase scrutiny of robo-advisers

Sep 12, 2016

SEC to examine RIAs who hire disciplined, barred brokers

Sep 12, 2016

DoubleLine's Gundlach says investors should get defensive as rates may rise

Sep 12, 2016

Financial-sector ETFs bet on a possible interest-rate hike pays off

Sep 12, 2016

Firms lose $2 million every time an adviser departs: study

Sep 11, 2016

Sheila Bair takes on the 'crisis' of student loan debt

Sep 11, 2016

Social media in SEC's crosshairs

Sep 11, 2016

2016 section 529 college savings plans

Sep 11, 2016

To be a fiduciary, invest like one

Sep 11, 2016

Some penalties, while brutal, are fair

Sep 09, 2016

Donald Trump tries to shame the Fed into raising rates

Sep 09, 2016

Wealthy families boost private-equity bets in reach for yield, UBS report shows

Sep 09, 2016

Elliot Weissbluth on how he uses dyslexia to his advantage

Sep 09, 2016

Momentum investing gaining speed among financial advisers

Sep 09, 2016

Provision to kill DOL fiduciary rule included in new bill to replace Dodd-Frank

Sep 09, 2016

Time to start navigating that minefield of mutual fund capital gains

Sep 09, 2016

What the U.S. gets wrong about retirement income

Sep 09, 2016

What the US gets wrong about lifetime income

Sep 09, 2016

Morningstar CEO Joe Mansueto to step down

Sep 09, 2016

The value of real financial advice

Sep 09, 2016

Too many people kept in the dark about life insurance costs

Sep 09, 2016

We need a new vocabulary in the wealth management industry

Sep 08, 2016

The value of dividends in retirement

Sep 08, 2016

Schwab's Liz Ann Sonders: Old bull market doesn't mean dead bull market

Sep 08, 2016

Here's how much luck really plays a part in your wealth

Sep 08, 2016

New data reveals why your job search just got easier

Sep 08, 2016

Fidelity rolls out factor-based ETFs

Sep 08, 2016

Morningstar to help advisers compare ETFs to mutual funds

Sep 08, 2016

DOL fiduciary rule could cause half of potential IRA rollover assets to stay put: Report

Sep 08, 2016

Industry, adviser groups raise concerns about SEC's business continuity proposal

Sep 08, 2016

Raymond James, Baird to pay $850,000 for SEC wrap-fee violations

Sep 08, 2016

Industry opposition to state retirement plans ignores reality

Sep 08, 2016

Protect client assets from aggressive unclaimed property rules

Sep 08, 2016

Yellen says rate-hike case 'has strengthened in recent months'

Sep 08, 2016

Nicholas Schorsch's AR Global to merge two REITs

Sep 08, 2016

HighTower Advisors gains traction in RIA market

Sep 08, 2016

Schorsch's AR Global to sell BDC adviser to Benefit Street Partners

Sep 08, 2016

RCAP to close wholesaling REIT division after charges of fraud, declining sales

Sep 07, 2016

Small Social Security cost-of-living adjustment likely for 2017

Sep 07, 2016

Time to embrace the idea of a nasty market correction

Sep 07, 2016

U.S. stocks fall from near record high as dollar rebounds

Sep 07, 2016

FPA seeks more influence over CFP Board, regulators by creating advisory council

Sep 07, 2016

Take 5: Kunal Kapoor, Morningstar's next CEO, says advisers must demonstrate their value through technology

Sep 07, 2016

Appeals court judge questions Camardas' claim in fee-only case against CFP Board

Sep 07, 2016

Fidelity presents five scenarios for stocks

Sep 07, 2016

ETFs are shuttering at a record pace

Sep 07, 2016

Advisers have a fiduciary duty to put robust business continuity plans in place

Sep 07, 2016

Advisers are bracing for a September market storm

Sep 07, 2016

Janus' Bill Gross slams central bankers again, arguing negative rates turn assets into liabilities

Sep 07, 2016

Could your financial adviser be charging unnecessarily high fees?

Sep 07, 2016

Use the DOL fiduciary rule as a catalyst to transform your business

Sep 07, 2016

What advisers need to consider before starting a separate business venture

Sep 07, 2016

CFP Board announces agenda for new Center for Financial Planning

Sep 06, 2016

The secret history of index mutual funds

Sep 06, 2016

Creating an enduring financial advisory business: Lessons from Fisher Investments

Sep 06, 2016

Morningstar slams some liquid alternative funds for masking actual expense ratios

Sep 06, 2016

Are junk bonds becoming the new equities?

Sep 06, 2016

Wells Fargo recruits brokers with combined $807 million of assets from JPMorgan, Morgan Stanley

Sep 06, 2016

How frivolous customer disputes can be erased from Finra BrokerCheck

Sep 06, 2016

El-Erian says Fed risks instability, excess by keeping rates low

Sep 06, 2016

What interns do and should not do for advisory firms

Sep 06, 2016

CFP Board poised to make advisers' arbitration results public

Sep 06, 2016

Amid slowdown, Raymond James recruits more adviser teams

Sep 06, 2016

IRS says Finra fines not tax-deductible for broker-dealers

Sep 06, 2016

Tax change may mean more money for small business owners

Sep 06, 2016

More millennials avoid reckoning with the Tax Man

Sep 04, 2016

Why financial advisers hate Elizabeth Warren

Sep 04, 2016

How Uber and the sharing economy will change the advice industry

Sep 02, 2016

Do retainers beat AUM-based fees under fiduciary rule?

Sep 02, 2016

SEC steps up scrutiny of adviser use of social media

Sep 02, 2016

Insurance that advisers will need to cover new fiduciary duties

Sep 02, 2016

Advisers ambivalent about emerging markets

Sep 02, 2016

Attorney Jerry Schlichter opens up about 403(b), 401(k) suits

Sep 02, 2016

After bankruptcy, Cetera Financial Group looking to sell Legend Equities Corp.

Sep 01, 2016

How Social Security benefits are calculated

Sep 01, 2016

Investors gobbled up risk assets in August

Sep 01, 2016

New Congressional bill addresses Medicare enrollment confusion

Sep 01, 2016

Why consistency adds value in retirement investing

Sep 01, 2016

Cetera leadership issue could be settled within days

Sep 01, 2016

Cetera advisers in the dark after report that CEO Larry Roth will be replaced by chairman Robert Moore

Sep 01, 2016

Why financial advisers need to worry about technology addiction

Sep 01, 2016

Families want details on how much to save for college

Sep 01, 2016

Value strategies defy logic in push past growth stocks

Sep 01, 2016

Trump corporate tax plan could be a boon for advisory firms

Sep 01, 2016

The alphabet soup of Medicare enrollment periods

Sep 01, 2016

Salesforce adds compliance features to financial services CRM for DOL fiduciary rule

Sep 01, 2016

Financial advisers push boundaries of social media

Sep 01, 2016

Direct-sold 529 college savings plans grew faster than adviser-sold plans in 2015

Sep 01, 2016

Genworth debuts new annuity for long-term-care coverage

Sep 01, 2016

What to do when a colleague's cognitive skills are deteriorating

Sep 01, 2016

Cognitive impairment, lower income drive higher LTC insurance lapses: Study