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Site Map for February 2017
Date
Title
Feb 28, 2017
OMB concludes review of measure delaying DOL fiduciary rule
Feb 28, 2017
Fidelity cuts commissions for online stock and ETF trades by nearly 40%
Feb 28, 2017
Wealthy clients might be vulnerable to IRS audit
Feb 28, 2017
RIAs embrace the tough-love feedback of advisory boards
Feb 28, 2017
Fee war rages on as Schwab slashes commissions to match Fidelity
Feb 28, 2017
Putting alternatives into tax-exempt vehicles
Feb 28, 2017
Strict timeline governs health savings accounts and Medicare
Feb 28, 2017
Empower telling 401(k) clients it won't be a fiduciary when DOL rule kicks in
Feb 28, 2017
Digital marketing strategies take years to perfect, but can yield prospects galore
Feb 28, 2017
Delay of DOL fiduciary rule faces new challenges
Feb 27, 2017
Markets looking for policy details in Trump's speech
Feb 27, 2017
DOL rule slows down wirehouse recruiting and crimps bonuses
Feb 27, 2017
Wells Fargo loses $375M team to Raymond James
Feb 27, 2017
How value investors succeed during market volatility
Feb 27, 2017
Fate of fiduciary rule rides on regulators' political savvy
Feb 27, 2017
5 ways to build quality financial plans amid DOL fiduciary rule uncertainty
Feb 27, 2017
More reps plan shift to fees post-DOL: Cerulli report
Feb 27, 2017
Financial advisers bristle at SEC's pitch to redefine 'accredited investor'
Feb 26, 2017
College planning programs in need of financial aid
Feb 26, 2017
State, local auto-IRA initiatives benefit 'forgotten' workers
Feb 24, 2017
Merrill Lynch cuts its top rate on fee accounts
Feb 24, 2017
Trump rally on verge of setting a record
Feb 24, 2017
SEC's Piwowar calls for expanding participation in private placements to help 'forgotten investor'
Feb 24, 2017
Demographic shift of retirees to affect consumer spending
Feb 24, 2017
Why many employees may never be able to retire
Feb 24, 2017
What Fed rate hikes mean for retirees
Feb 24, 2017
Using IRAs to reduce Medicare premiums
Feb 24, 2017
Regulatory scrutiny may put firms without adviser text messaging policies at risk
Feb 24, 2017
Vanguard cuts expense ratios — again
Feb 24, 2017
Industry plaintiffs appeal Dallas court's decision to uphold DOL fiduciary rule
Feb 23, 2017
Triad nabs Resources Investment Advisors, the $5 billion hybrid that left LPL
Feb 23, 2017
Adviser loses IRS fight, putting tax status for solo practitioners in question
Feb 23, 2017
Rising markets keep advisers out of arbitration
Feb 23, 2017
Breakaway UBS, Morgan Stanley teams form $750M RIA
Feb 23, 2017
Advisers OK with David Booth stepping down as co-CEO of Dimensional Fund Advisors
Feb 23, 2017
Discount pricing could lure more RIAs to outsource asset management
Feb 23, 2017
Advice firms adapt to millennial advisers who want to help their peers
Feb 23, 2017
SEC provides robo-adviser guidance
Feb 23, 2017
How Super Branches Spell Opportunities for Advisors
Feb 23, 2017
A Unique Opportunity for B-D Managers and Principals
Feb 22, 2017
Many plan to use this year's tax refund to pay down debt
Feb 22, 2017
Get ahead of robo-advisers by combining personal and digital services
Feb 22, 2017
Gotham latest to look at linking more hedge fund pay to performance
Feb 22, 2017
Many acquisitions of DC record-keeping businesses lose luster over time
Feb 22, 2017
Minnesota judge denies Justice Department's request for stay in DOL fiduciary rule lawsuit
Feb 22, 2017
Purshe Kaplan Sterling to pay $3.4M in restitution for overcharging Native American tribe
Feb 22, 2017
Why passive asset managers represent high risk for financial advisers
Feb 22, 2017
Client communication strategies for uncertain markets
Feb 22, 2017
Dimensional Fund Advisors' David Booth replaced by Dave Butler as co-CEO
Feb 22, 2017
Help clients feel confident and in control of the retirement planning process
Feb 22, 2017
Advocates push to delay DOL fiduciary rule delay; industry waits for likely stall
Feb 22, 2017
Beware the gap coming in the number of financial advice professionals
Feb 21, 2017
Some Merrill Lynch advisers upset with move away from commissions
Feb 21, 2017
HighTower adds $160M advisory group from UBS
Feb 21, 2017
Six Morgan Stanley reps with $700M in combined AUM join Steward Partners
Feb 21, 2017
B. Riley Financial buys FBR for $160 million
Feb 21, 2017
Robo-advisers and human advisers adopt each others' biggest advantages
Feb 21, 2017
Campaign spending up among advice groups
Feb 21, 2017
Former Wells Fargo broker barred for parking fraud
Feb 21, 2017
Using IRAs to reduce Medicare premiums
Feb 21, 2017
Winners and losers in the murky DOL fiduciary rule implementation
Feb 17, 2017
Mercer Advisors acquiring its way to national family office status
Feb 17, 2017
Justice Department seeks stay in Thrivent lawsuit against DOL fiduciary rule
Feb 17, 2017
Acting SEC chair scales back enforcement unit's subpoena powers
Feb 17, 2017
Orion Advisor Services adds trading and rebalancing platform
Feb 17, 2017
Finra arbitration panel hits UBS with $9M award in Puerto Rican bond case
Feb 17, 2017
Shareholders Service Group to offer Jemstep Advisor Pro to RIAs
Feb 17, 2017
Financial technology companies embrace artificial intelligence and virtual reality
Feb 17, 2017
It's up to advisers to know their custodial status
Feb 17, 2017
Small custodians compete for advisers with niche needs
Feb 17, 2017
Kansas judge again upholds DOL fiduciary rule
Feb 16, 2017
DOL fiduciary rule developments give both sides something to cheer
Feb 16, 2017
More women taking control of family checkbooks
Feb 16, 2017
Americans renouncing citizenship at record levels
Feb 16, 2017
Investors to U.S. stock funds: Drop dead
Feb 16, 2017
Many millennials see debt as a dating deal breaker
Feb 16, 2017
Trump nominates ex-NLRB member R. Alexander Acosta as Labor secretary
Feb 16, 2017
Misclassified fund draws huge assets, then falters
Feb 16, 2017
New York Life settles 401(k) lawsuit for $3 million
Feb 16, 2017
Shareholders approve merger of two Schorsch REITs
Feb 16, 2017
At Vanguard, customer complaints rise along with assets
Feb 16, 2017
T. Rowe Price sued for self-dealing in its 401(k) plan
Feb 16, 2017
Awaiting new Labor secretary, staff takes on larger role in fiduciary rule's fate
Feb 16, 2017
Dominate your social media in an hour a week
Feb 16, 2017
Lifestyle changes can add up to big savings for retirement
Feb 16, 2017
U.S millionaire households hit 6.8 million
Feb 15, 2017
Puzder withdraws as Trump's Labor nominee amid Republican doubts
Feb 15, 2017
Elder abuse prevention by advisers depends on their firms' response to new rule
Feb 15, 2017
House votes to kill DOL's state, city auto-IRA rules
Feb 15, 2017
Finra slaps LPL with $900,000 fine for record-keeping snafu
Feb 15, 2017
Adviser's Consultant: Creating a new service for clients with smaller nest eggs
Feb 15, 2017
Finra expels Red River Securities for oil and gas fraud
Feb 15, 2017
AdvisorEngine acquires Wealthminder
Feb 15, 2017
Online Platforms Help Advisors Add Alternatives
Feb 15, 2017
Robo-advice goes bilingual
Feb 15, 2017
Report shows few advisers examined by California oversight office
Feb 15, 2017
Riskalyze introduces portfolio construction, other tools
Feb 14, 2017
Fidelity shuffles managers at its small cap funds
Feb 14, 2017
Send me no flowers - just a higher credit score
Feb 14, 2017
SEC, Morgan Stanley settle charges related to inverse ETFs
Feb 14, 2017
Funds with revenue-sharing fees can be cheapest option in 401(k) plans
Feb 14, 2017
Fintechs feature DOL fiduciary tools at T3
Feb 14, 2017
Finra bars former Wells Fargo rep for churning accounts of 93-year-old
Feb 14, 2017
How to help millennials avoid big mistakes with their IRAs
Feb 14, 2017
Working to spark a global movement for pro bono financial planning
Feb 14, 2017
Coming off a disastrous 2016, sales of nontraded REITs could bounce back in 2017
Feb 14, 2017
Trump throws monkey wrench into REIT sector
Feb 14, 2017
Couple wins $922K arbitration claim over illiquid real estate investments
Feb 13, 2017
4 questions to improve your target date fund selection process
Feb 13, 2017
Former broker barred for bilking elderly client
Feb 13, 2017
Blackstone acquisition of Aon Hewitt could signal push by private equity into 401(k) plans
Feb 13, 2017
Sen. Elizabeth Warren presses Andrew Puzder on DOL fiduciary rule
Feb 13, 2017
Lower taxes could hit municipal bond yields
Feb 13, 2017
3 questions independent broker-dealers should ask private equity product sponsors
Feb 13, 2017
Foreign creditors dumping American Treasuries in warning to Trump
Feb 13, 2017
Raymond James attracts $460 million team from Morgan Stanley
Feb 13, 2017
Higher Medicare and household expenses biggest financial shockers in retirement
Feb 13, 2017
Social Security Administration continues to give bad advice on claiming rules
Feb 12, 2017
Trump's DOL fiduciary directive triggers chaos
Feb 12, 2017
President Trump's order on DOL fiduciary rule creates quandary for firms
Feb 10, 2017
This is an Investment News Scriba test by Bob Allen
Feb 10, 2017
European stocks far cheaper than US stocks
Feb 10, 2017
Is your 401(k) balance above or below average?
Feb 10, 2017
Labor Department seeks 180-day delay of fiduciary rule: Reports
Feb 10, 2017
Two ways to boost Social Security benefits
Feb 10, 2017
There's never been a better time to provide life insurance advice
Feb 10, 2017
RIAs at odds over fees for clients' cash balances
Feb 10, 2017
Morgan Stanley mulls moving New York City headquarters
Feb 10, 2017
Move to delay implementation threatens DOL fiduciary rule
Feb 10, 2017
Dallas judge in DOL fiduciary rule suit deals yet another blow to indexed annuities
Feb 10, 2017
Rogue brokers still pose danger to investors
Feb 10, 2017
New Jersey broker pleads guilty to six-year elder scam
Feb 10, 2017
SEC charges Connecticut RIA with stealing $3.95M from investors
Feb 09, 2017
Women cope better financially with later-in-life divorce than men: CPA survey
Feb 09, 2017
Dallas court approval of DOL fiduciary rule bolsters supporters' case
Feb 09, 2017
Putnam merges, liquidates 10 funds
Feb 09, 2017
Trump protectionism poses big market risks: strategists
Feb 09, 2017
Trump call for DOL fiduciary rule review could open door to uniform standard
Feb 09, 2017
John Bogle: Demise of fiduciary rule would be 'step backward' for nation
Feb 09, 2017
Got client passwords? That means custody to SEC
Feb 09, 2017
Medicare enrollment ends HSA eligibility
Feb 09, 2017
Justice Department seeks stay in DOL fiduciary rule lawsuit
Feb 09, 2017
Focus Financial adds $800M Lone Star State firm
Feb 09, 2017
UBS exploring fee-based annuities for advisers
Feb 09, 2017
Galvin orders LPL to pay $3.7 million in restitution, fines over unsuitable VA sales
Feb 09, 2017
Fidelity's Bob Oros to take over as CEO of HD Vest
Feb 08, 2017
DOL fiduciary rule class-actions costs could top $150M a year
Feb 08, 2017
Houston-area Lifestyle Financial Advisors merges with nearby adviser
Feb 08, 2017
Companies expand benefits to help workers deal with sickness and death
Feb 08, 2017
Lovell Minnick buys majority stake in Foreside Financial
Feb 08, 2017
Envestnet to deliver online, in-person fiduciary training programs
Feb 08, 2017
LPL reports robust recruiting in 2016
Feb 08, 2017
Finra increases arbitrator recruiting, diversity, but other reforms lag
Feb 08, 2017
Merrill Lynch debuts robo-platform for clients with at least $5,000 to invest
Feb 08, 2017
Why the calendar is making some advisers look smarter than they really are
Feb 08, 2017
Congress seeks to kill DOL rules on state, city auto-IRA programs
Feb 08, 2017
Dallas judge upholds DOL fiduciary rule
Feb 08, 2017
Higher investor protection standards ahead regardless of DOL fiduciary rule outcome
Feb 08, 2017
$4 billion hybrid RIA to leave LPL
Feb 08, 2017
Ron Carson reveals friction with LPL led to move to Cetera
Feb 08, 2017
2017 to be year of independent broker-dealer mergers
Feb 07, 2017
Dan Arnold, LPL's new CEO, to be in the spotlight during earnings call
Feb 07, 2017
Trouble keeping Next Gen advisers motivated? It may be normal
Feb 07, 2017
Washington RIA found guilty of ripping off Mike Tyson
Feb 07, 2017
Most advisers' cybersecurity training insufficient
Feb 07, 2017
How do you deploy cash in this market?
Feb 07, 2017
Hamilton ticket investor sues BD over its due diligence in alleged $81 million Ponzi
Feb 07, 2017
3 non-traditional methods for acquiring a financial advisory practice or book of business
Feb 07, 2017
Senator Elizabeth Warren tells acting DOL secretary, 'Financial firms back fiduciary rule'
Feb 07, 2017
Fidelity survey finds advisers still focusing on DOL rule implementation
Feb 07, 2017
How to pick the right active manager
Feb 07, 2017
Trump executive order may prevent guidance on employee benefits issues
Feb 06, 2017
Former Wells Fargo Advisors rep barred by Finra for excessive trading in elderly client's account
Feb 06, 2017
Nearly 60% of Americans don't have wills
Feb 06, 2017
Investors mix target-date funds and other investments to pursue specific strategies
Feb 06, 2017
Fiserv to offer robo to its adviser, bank clients
Feb 06, 2017
IRS wants $700 million from Michael Jackson estate
Feb 06, 2017
Two ways to boost Social Security benefits
Feb 06, 2017
These mutual funds have a history of losing money
Feb 06, 2017
What's next for the DOL fiduciary rule
Feb 06, 2017
PreciseFP now links to Wealthbox and Salesforce
Feb 06, 2017
Dodd-Frank repeal could lead to big changes for indexed annuities
Feb 06, 2017
What will the estate tax look like under Trump?
Feb 06, 2017
Time Inc. starts personal finance video venture
Feb 06, 2017
3 ways to protect your 401(k) if Trump nixes the fiduciary rule
Feb 06, 2017
Trump to order halt of fiduciary rule, review of Dodd-Frank
Feb 05, 2017
Despite new review of DOL fiduciary rule, firms are sticking with higher standard of care
Feb 05, 2017
Decisions in 3 key areas separate top-performing firms from masses
Feb 05, 2017
Estate-tax flux could boost grantor trusts
Feb 05, 2017
Getting a handle on robo-advisers' returns
Feb 03, 2017
How to Earn Your Clients' Trust
Feb 03, 2017
Final Trump memo lacks explicit directive to delay DOL fiduciary rule
Feb 03, 2017
Elderly investors win $1.25 million Finra arbitration over failed medical start-up investments
Feb 03, 2017
DOL fiduciary rule delayed 180 days by Trump directive
Feb 03, 2017
Most advisers think the industry will continue down a fiduciary path despite rule delay
Feb 03, 2017
What you need to know now about Trump's plan to halt DOL fiduciary rule
Feb 02, 2017
Getting married in America is more expensive than ever
Feb 02, 2017
Trump is acting on everything except your retirement
Feb 02, 2017
Big data for analyzing adviser businesses, clients part of TD's fintech strategy for 2017
Feb 02, 2017
Clean shares could revolutionize the fund industry
Feb 02, 2017
Yes, hiring financial advisers is tough
Feb 02, 2017
Two wirehouse reps join forces at HighTower
Feb 02, 2017
Another salvo in the fee wars: Schwab cuts expense ratios on index funds
Feb 02, 2017
Financial advisers welcome demise of investment tax to fund health care law
Feb 02, 2017
House Republican Pete Sessions calls on Trump to delay DOL fiduciary rule
Feb 02, 2017
TD's Nally urges evolution of RIA fee model
Feb 01, 2017
Boston-area acquisition creates $4.7 billion RIA
Feb 01, 2017
Ask the Ethicist: What happens when an adviser gets caught in the middle of divorcing clients?
Feb 01, 2017
Conditions fertile for annuities if industry can connect with investors
Feb 01, 2017
Edward Scissorhands slices into business manager with fiduciary lawsuit
Feb 01, 2017
Buffer annuities, an index-variable hybrid, garner mixed reactions
Feb 01, 2017
Justice Department continues to defend DOL fiduciary rule in court
Feb 01, 2017
Cross-selling a big focus for JPMorgan private bankers working with wealthy clients
Feb 01, 2017
Merrill Lynch trying to make fees more transparent
Feb 01, 2017
Time for financial advisers to reimagine their offices
Feb 01, 2017
Meet the woman who's turning around Pimco
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