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Site Map for October 2016
Date
Title
Oct 31, 2016
Handful of mutual funds set up for big capital gains distributions
Oct 31, 2016
Certified Financial Planner Board suspends California adviser for defrauding pro-athletes
Oct 31, 2016
What is clear from DOL's fiduciary FAQs — and what requires more guidance
Oct 31, 2016
DOL fiduciary rule FAQs emphasize dangerous compensation practices — including for RIAs
Oct 31, 2016
Why performance-chasing investors will love the new 5-year rolling averages
Oct 31, 2016
Investopedia Anxiety Index a step ahead of the VIX?
Oct 31, 2016
Advisers take flight from Morgan Stanley
Oct 31, 2016
Raymond James attracts $300 million team from LPL Financial
Oct 30, 2016
Good branch managers a dying breed
Oct 30, 2016
A donor-advised fund can benefit clients as well as charity
Oct 30, 2016
A clear view of alternative strategies is a challenge for financial advisers
Oct 30, 2016
Hillary Clinton's tax plan would hit the very rich
Oct 30, 2016
Despite contrasts, neither Donald Trump nor Hillary Clinton's tax plan challenges existing regime
Oct 30, 2016
New path for resolving late RIA rollovers
Oct 28, 2016
Technology can help advisers ensure they are giving 'best' advice to meet DOL fiduciary rule
Oct 27, 2016
Fresh FBI investigation of Hillary Clinton sets the markets on edge
Oct 27, 2016
Technology can offer support to advisers with aging clients
Oct 27, 2016
IRA investors may disappear from IPOs
Oct 27, 2016
Help your clients make retirement sweeter
Oct 27, 2016
Janus in a double whammy as assets flee and revenue drops
Oct 27, 2016
SEC charges Broidy Wealth Advisors with overbilling clients, stealing from their trusts
Oct 27, 2016
DOL releases first batch of FAQs on fiduciary rule
Oct 27, 2016
Advisers failing to comprehend impact of DOL fiduciary rule: Massachusetts regulator William Galvin
Oct 27, 2016
Ameriprise will stick with IRA commissions under DOL fiduciary rule
Oct 27, 2016
Ameriprise spends another $7 million in Q3 to get ready for the DOL fiduciary rule
Oct 27, 2016
Schwab CEO: Advisers face challenge of keeping fiduciary edge over brokers in post-DOL rule world
Oct 26, 2016
Big gap between Social Security cost-of-living adjustment and retiree inflation
Oct 26, 2016
Tax planning for the wealthy would get more difficult under a Clinton presidency
Oct 26, 2016
DOL expects to issue final rule on city retirement programs by year end
Oct 26, 2016
The next 10 years will be ugly for your 401(k)
Oct 26, 2016
The next 10 years will be ugly for your 401(k)
Oct 26, 2016
Advisers offer tips for surviving a cybersecurity exam
Oct 26, 2016
Volatility seen as best way to hedge against political risk
Oct 26, 2016
How to prevent clients from reacting to what everyone else is doing
Oct 26, 2016
New book offers advice on how to navigate the post-DOL rule world
Oct 26, 2016
Former Oppenheimer broker pleads guilty to insider trading
Oct 26, 2016
Advisory firms have grown larger than ever, leading to a decrease in professional productivity
Oct 26, 2016
Why the AT&T-Time Warner merger bodes ill for the market
Oct 26, 2016
Commonwealth Financial eliminates commission-based retirement products in wake of DOL rule
Oct 26, 2016
Some firms opting to sell fixed annuities under best-interest contract exemption to keep trips, bonuses intact
Oct 26, 2016
Advisers warming up to the DOL rule, see business opportunity: Fidelity poll
Oct 26, 2016
Get ready for more whistleblowers in the financial advice sector
Oct 26, 2016
RIAs boost profitability while gaining clients, Charles Schwab study shows
Oct 26, 2016
Barrage of Schwab ads to proclaim virtues of fiduciary advisers
Oct 26, 2016
Custodians tell fee-only advisers to find a new way to stand out after DOL fiduciary rule
Oct 25, 2016
Finra bans LPL broker for depositing client funds into own bank account
Oct 25, 2016
Guggenheim bond shop outperforms by taking fearless advantage of Fed policy
Oct 25, 2016
Fears of a Federal Reserve move fuel bond market selloff
Oct 25, 2016
Advisers uncertain about future but Schwab exec urges them to embrace change
Oct 25, 2016
Adviser compensation, rollovers most complex factors under DOL fiduciary rule
Oct 25, 2016
Hillary Clinton-Donald Trump slugfest could permanently alter US politics: Horizon Investments' political strategist
Oct 25, 2016
Tax planning for the wealthy gets more difficult under a Clinton presidency
Oct 25, 2016
First set of FAQs on fiduciary rule coming 'very soon,' but deadline extension 'not likely': DOL's Borzi
Oct 25, 2016
Is your 529 plan one of the six that Morningstar just downgraded?
Oct 25, 2016
Wells Fargo claws back more than $1 million from broker claiming wrongful termination, Finra says
Oct 25, 2016
The case for more U.S. infrastructure investment by the private sector
Oct 25, 2016
Investors want more government spending
Oct 25, 2016
The coming wave of M&A for advisory companies
Oct 25, 2016
Finra alleges former broker made unsuitable energy investments for elderly clients
Oct 24, 2016
TD Ameritrade introduces new retail robo-adviser platform
Oct 24, 2016
China Oceanwide agrees to buy Genworth for $2.7 billion in cash
Oct 24, 2016
RIA firms see record number of M&A deals in first nine months of 2016
Oct 24, 2016
SS&C acquires CRM firm used by large wealth managers
Oct 24, 2016
Scottrade acquisition could be a boon to TD Ameritrade RIAs
Oct 24, 2016
Even low-tech tools can trip up advisers going independent
Oct 24, 2016
Big gap between Social Security cost-of-living adjustment and retiree inflation
Oct 24, 2016
Financial advisers miss the mark by measuring alternative investments against stock market
Oct 23, 2016
Performance-based pay may lead to problems including fines — and even a tarnished brand
Oct 23, 2016
Sen. Elizabeth Warren's bogus charges against SEC's Mary Jo White
Oct 21, 2016
FOLIOfn acquires First Affirmative to expand its SRI footprint
Oct 21, 2016
5 top Wall Street investors weigh in on the best ways to invest $10,000 now
Oct 21, 2016
Why investors may be overlooking the benefits of impact investing
Oct 21, 2016
Adviser groups boost political spending to gain Capitol Hill influence
Oct 21, 2016
Help clients manage tax payments during the year
Oct 21, 2016
SEC bars adviser for failing to disclose conflicts of interests in commodities fund
Oct 21, 2016
How fintech aims to make DOL fiduciary rule manageable
Oct 21, 2016
Patriarch Partners CEO Lynn Tilton's bid to block asset sale rejected as she faces SEC fraud trial
Oct 21, 2016
DOL fiduciary rule won't help some 403(b) retirement plans
Oct 21, 2016
Knut Rostad: Trump adviser Anthony Scaramucci should apologize for DOL fiduciary rule remarks
Oct 21, 2016
Investor exodus forcing hedge fund managers to take big pay cuts
Oct 21, 2016
SEC approves fund liquidity rule but carves out exemptions for ETFs
Oct 20, 2016
Despite the temptation, an all-stock portfolio is crazy
Oct 20, 2016
Finra shouldn't hype 'broken' BrokerCheck to investors: PIABA
Oct 20, 2016
Financial advisers flock to Vanguard, bringing more than $1 trillion on board
Oct 20, 2016
InvestmentNews readers weigh in on the final presidential debate
Oct 20, 2016
DOL fiduciary rule promotes a 'business form of skydiving'
Oct 20, 2016
The long-term effect of lifestyle-friendly advisory practices
Oct 20, 2016
Finra proposes rule to prevent elder financial abuse
Oct 20, 2016
The DOL fiduciary rule: Deal catalyst or deal killer?
Oct 20, 2016
Morgan Stanley sales contests among advisers didn't help clients
Oct 20, 2016
Finra bans former Prudential broker for deceptive variable annuity sales
Oct 20, 2016
Massachusetts follows Finra's lead with crackdown on rogue brokers
Oct 20, 2016
Finra chief Richard Ketchum warns firms against hiring problem brokers
Oct 19, 2016
Boldly betting oil will top out at $50 a barrel
Oct 19, 2016
Investors poured $23 billion into taxable bond funds in September: Morningstar
Oct 19, 2016
Morgan Stanley may not follow Merrill Lynch's lead to ban IRA commissions
Oct 19, 2016
Advisory firms growing with tech, but not without troubles and false starts
Oct 19, 2016
Twitter reacts to Trump adviser Anthony Scaramucci's promise to kill DOL fiduciary rule
Oct 19, 2016
Stars aligning for use of annuities in 401(k) plans
Oct 19, 2016
5 tips for winning debates with your clients
Oct 19, 2016
Lack of capacity 'single biggest' growth inhibitor for advisory firms
Oct 19, 2016
Trump adviser Anthony Scaramucci promises to 'repeal' DOL fiduciary rule
Oct 19, 2016
Institute for Fiduciary Standard begins program to hold advisers publicly accountable
Oct 19, 2016
Why Pershing is cherry-picking the robo-advisers it offers its clients
Oct 18, 2016
Divorce might be the worst financial plan of all
Oct 18, 2016
Social Security cost-of-living adjustment to get 0.3% increase in 2017
Oct 18, 2016
How to coordinate Social Security disability and retirement benefits
Oct 18, 2016
InvestmentNews names the financial advice industry's 2016 “Best Practices”
Oct 18, 2016
Variable annuity money fund subaccounts mark five years of losses
Oct 18, 2016
Fidelity's robo for financial advisers will give clients eMoney tools
Oct 18, 2016
Coordinating Social Security disability and retirement benefits
Oct 18, 2016
Looking for yield at a fair price? Try preferred stock from closed-end funds
Oct 18, 2016
Former UBS broker barred for inflating customer account value, Finra says
Oct 18, 2016
Finra bars former broker for lifting $400,000 from parents' accounts
Oct 18, 2016
Social Security cost-of-living adjustment expected to be lowest ever
Oct 18, 2016
Schwab cuts ETF fees again, as expense war with rivals BlackRock, Fidelity and Vanguard heats up
Oct 18, 2016
Gold prices send a scary message to the markets
Oct 18, 2016
Small Social Security cost-of-living adjustment likely for 2017
Oct 18, 2016
Schorsch REIT merger may not be in the best interest of shareholders
Oct 18, 2016
HighTower adds Beverly Hills-based RIA with $500M in assets
Oct 18, 2016
HighTower adds $400 million team in St. Louis
Oct 17, 2016
Bank of America CFO says decision to stop paying IRA commissions won't incite Merrill Lynch brokers to quit
Oct 17, 2016
Broker-dealers deploying advanced cybersecurity measures
Oct 17, 2016
Elizabeth Warren asks Obama to replace SEC's Mary Jo White
Oct 17, 2016
Finra panel directs broker to pay $600,000 for siphoning money from two older adults
Oct 17, 2016
Finra fines Ameriprise $850,000 for failing to supervise broker preying on his own family
Oct 16, 2016
Adviser managing $250 million in assets joins HighTower from Merrill Lynch
Oct 16, 2016
Courting the Asian-American financial advice market
Oct 16, 2016
Verification key to halting cyber scams
Oct 16, 2016
How reverse mortgages work as a source of retirement income
Oct 14, 2016
Finra suspends ex-Morgan Stanley client administrator for fraudulent wire transfer
Oct 14, 2016
Goldman Sachs sounds the alarm on bond duration risk
Oct 14, 2016
The Fed ponders ignoring its inflation mandate
Oct 14, 2016
How proposed caps could impact IRA and 401(k) accounts
Oct 14, 2016
Answers to advisers' top questions on IRS' late IRA rollover relief
Oct 14, 2016
Advisers finding more social media success
Oct 14, 2016
SEC charges former adviser with pawning off trading losses to clients
Oct 14, 2016
Former Morgan Stanley broker barred for unauthorized borrowing from clients
Oct 13, 2016
A pricey stock market may get pricier
Oct 13, 2016
Financial wisdom from Deepak Chopra
Oct 13, 2016
DOL fiduciary rule will trim 401(k) advisers' stable of record keepers, asset managers: study
Oct 13, 2016
LendingClub introduces peer-lending robo for advisers
Oct 13, 2016
Mo' money mo' problems? Study delves into whether high-earners really have more stress
Oct 13, 2016
As Finra's mutual fund waiver sweep continues, medium and small broker-dealers are targets
Oct 13, 2016
Alternative investments have made little headway in getting on retirement plan menus
Oct 13, 2016
Ron Carson partners with Fidelity to launch practice management program
Oct 13, 2016
LPL highlights service gains at annual Focus meeting
Oct 13, 2016
LPL to employees: No raises in 2016
Oct 12, 2016
Advisory team managing $280 million in client assets moves from Lincoln Financial to LPL
Oct 12, 2016
My Medicare coverage has been canceled, now what?
Oct 12, 2016
Deutsche Bank settles with regulators for $9.5M
Oct 12, 2016
Wells Fargo embroiled in 401(k) lawsuit over cross-selling scandal
Oct 12, 2016
Adviser shares two technology must-haves to help land prospects
Oct 12, 2016
Despite having the tools, most financial advisers don't track sales leads
Oct 12, 2016
Embattled Wells Fargo CEO John Stumpf throws in the towel
Oct 12, 2016
Wintrust, broker to pay $1.5 million for raiding BMO Harris customers: Finra
Oct 12, 2016
Small-cap stocks have more room to run
Oct 12, 2016
Morgan Stanley advisers overseeing $2.34 billion leave for Merrill Lynch
Oct 12, 2016
Wells Fargo adds Credit Suisse brokers under recruiting agreement
Oct 12, 2016
Independent broker-dealers snatch biggest adviser teams in the first-quarter
Oct 11, 2016
Massachusetts securities regulator Galvin hits two broker-dealers and brokers with complaints
Oct 11, 2016
Banks' collaborations with technology firms will benefit financial advisers
Oct 11, 2016
Nobel prize winners shine light on best compensation practices
Oct 11, 2016
Hillary Clinton proposes expanding child tax credit
Oct 11, 2016
Downtrodden international funds looking for a break
Oct 11, 2016
SEC sets record in enforcement actions against investment advisers
Oct 11, 2016
Merrill Lynch owes stiffed brokers $800,000 in damages after termination dispute, Finra says
Oct 11, 2016
LPL posts 13% drop in commission revenue in second quarter as DOL fiduciary rule takes its toll
Oct 10, 2016
Stock market falls into earnings season
Oct 10, 2016
InvestmentNews Twitter followers pick Donald Trump as winner of second presidential debate
Oct 10, 2016
Here's what financial advisers need to tell clients about new money-market rules
Oct 10, 2016
Envestnet buys analytics firm with eye toward DOL fiduciary rule compliance
Oct 10, 2016
How big wealth management firms should treat top-performing advisers to keep them happy
Oct 10, 2016
Financial advisers need to prepare for the coming age wave
Oct 10, 2016
Merrill Lynch brokers with $800 million in assets leave for Janney Montgomery
Oct 10, 2016
Big bets come back to haunt Franklin Templeton's global bond fund
Oct 10, 2016
BlackRock cuts ETF prices anticipating greater passive shift
Oct 10, 2016
Outsourced 401(k) fiduciary services emerge after DOL rule
Oct 09, 2016
Fidelity fires the latest salvo in ETF fee war
Oct 09, 2016
Viewing a recession threat through rose-colored glasses
Oct 09, 2016
DOL fiduciary rule may finally spark lower fund fees for mutual funds
Oct 09, 2016
Ensuring arbitration awards make it to investors
Oct 09, 2016
Don't mistake achievement for passion and purpose
Oct 09, 2016
ETFs emerging as important part of alternative investment market
Oct 07, 2016
Cyberattack threats to nation's utilities pose credit risk for investors
Oct 07, 2016
Prudential Investments joins the fee-cut bandwagon
Oct 07, 2016
Gold's price drop puts traders and investors at odds
Oct 07, 2016
Follow the presidential debate with InvestmentNews #INDebate16
Oct 07, 2016
Use fee compression as an opportunity to address life insurance concerns
Oct 07, 2016
Merrill's move to end commission IRAs a 'tectonic shift' for brokerage industry
Oct 07, 2016
How advisers can explain the big difference between trading and investing
Oct 07, 2016
How I tackled tech when starting a new advisory firm
Oct 07, 2016
Steps advisers must take to avoid email cyberattacks
Oct 07, 2016
Financial advisers severely underestimating cyberthreats: experts
Oct 07, 2016
Why traditional balanced portfolio of 60% stocks, 40% bonds can still work for investors
Oct 07, 2016
Encrypting emails, files for clients is crucial, but not always followed
Oct 06, 2016
Merrill Lynch wealth management head John Thiel stepping down
Oct 06, 2016
Texas broker-dealer fined $100,000 over variable annuity exchanges
Oct 06, 2016
Most women claim Social Security early
Oct 06, 2016
Advisers want Finra to focus on the 'bad guys' and leave the rest alone
Oct 06, 2016
Advisers shutter offices to brace for Hurricane Matthew's punch
Oct 06, 2016
What to do when smart beta looks like dumb beta
Oct 06, 2016
Merrill Lynch eliminates commission IRA business in response to DOL fiduciary rule
Oct 06, 2016
Most women claim Social Security early
Oct 06, 2016
Savant targeting acquisitions after attracting $50M to buy out co-founder
Oct 06, 2016
Testing the limits of ETF tax efficiency
Oct 06, 2016
Finra expels real-estate investment firm formerly known as DT Securities and its CEO
Oct 06, 2016
Smart beta complexity is hurting investors
Oct 06, 2016
Owner of Texas broker-dealer target of $3 million complaint over variable annuities
Oct 06, 2016
Advisory firms using creative job titles to attract clients, staff
Oct 06, 2016
Ron Carson sells 29% stake in his firm for $35M
Oct 05, 2016
Serving retirement-income clients a big challenge for financial advisers: study
Oct 05, 2016
Merrill Lynch enters the robo-advisory business
Oct 05, 2016
Renting out your second home could prove to be a gold mine
Oct 05, 2016
Self-funding employee health care pays off for some small businesses
Oct 05, 2016
How to get what's yours from Medicare
Oct 05, 2016
What you need to tell clients about new money fund rules
Oct 05, 2016
MetLife seeks spinoff of U.S. unit after mulling IPO
Oct 05, 2016
Credit Suisse to pay $90 million for padding assets under management
Oct 05, 2016
Firms must look for female advisers in unusual occupations
Oct 05, 2016
$1 billion group leaves Arnerich Massena to go independent
Oct 05, 2016
Financial advisers find value in emerging-market debt funds
Oct 05, 2016
Bond-fund investors feel the sting of rising Treasury yields
Oct 04, 2016
Finra suspends ex-LPL rep over unsuitable short-term trading of unit investment trusts
Oct 04, 2016
Advisers call Trump prudent with taxes in avoiding years of payments
Oct 04, 2016
Appeals court upholds dismissal of Camarda fee-only case against CFP Board
Oct 04, 2016
Sponsor of small 401(k) sued for losses tied to large 'patent troll' investment
Oct 04, 2016
LPL affiliate with $600M in assets forms RIA
Oct 04, 2016
Janus Capital agrees to merge with London's Henderson Global
Oct 04, 2016
Deutsche Bank shares fall to a record low
Oct 04, 2016
LPL placing heavy focus on technology improvements
Oct 04, 2016
Triad Advisors to pay more than $200,000 for failing to give sales charge discounts on unit investment trusts, Finra says
Oct 03, 2016
Advisers who outsource investment management make more money than those that don't: study
Oct 03, 2016
Alternative investments shop 361 Capital 'diversifies' into long-only management
Oct 03, 2016
Massachusetts charges Morgan Stanley over unethical sales contest
Oct 03, 2016
Advisers weigh pros and cons of Janus-Henderson merger
Oct 03, 2016
Stress tests still unpopular with fund industry
Oct 03, 2016
Adviser's Consultant: Crafting prospects via radio won't work forever
Oct 03, 2016
Beacon Pointe Wealth Advisors buys RIA in Dallas area
Oct 03, 2016
Investing in the largest funds isn't the biggest mistake you can make
Oct 03, 2016
Independent advisers are key to economic growth in their communities: Oxford Economics study
Oct 03, 2016
The gloves come off in the legal fight between Pimco and Bill Gross
Oct 02, 2016
Piling up returns like Warren Buffett and George Soros might be easier than you think
Oct 02, 2016
How financial advisers can operate in a world without trust
Oct 02, 2016
The journey from financial advisers to tech entrepreneurs
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