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Site Map for March 2017
Date
Title
Mar 31, 2017
SEC bars ex-LPL broker already serving 12-year prison sentence
Mar 31, 2017
Ask the Ethicist: When is it OK to allow employees to bring emotional support pets into the office?
Mar 31, 2017
UBS loses another Puerto Rico bond claim, this time for $4.4 million
Mar 31, 2017
As Fed raises interest rates, money funds increase yields, some to more than 1%
Mar 31, 2017
Reverse mortgages have an image problem
Mar 31, 2017
Fidelity follows Empower in launching TDF-managed account hybrid
Mar 30, 2017
New IRS rules allow a risky, 'silent' protest of the Affordable Care Act
Mar 30, 2017
Senate votes to kill city auto-IRA rules
Mar 30, 2017
CedarPoint Investment Advisors acquired by Midland States Bancorp
Mar 30, 2017
Millennials like blend of robo and human advice, though skeptical of advice generally
Mar 30, 2017
Ned Davis: Passion for passive a 'bubble'
Mar 30, 2017
MassMutual to level 401(k) fees for its brokers
Mar 30, 2017
Senate bill aims for higher SEC enforcement penalties
Mar 30, 2017
DOL fiduciary rule supporters question agency's quick read of comment letters before sending final delay to OMB
Mar 30, 2017
RIAs seeing the upside of formal investment committees
Mar 29, 2017
BlackRock shakes up struggling active stock-picking unit
Mar 29, 2017
DOL sends final fiduciary rule delay to Office of Management and Budget
Mar 29, 2017
10 ways to put extra cash to work to bolster your finances
Mar 29, 2017
Finra bars broker charged in NY pension fund hookers, strippers and drug scandal
Mar 29, 2017
Advisers managing $463 million join Ameriprise
Mar 29, 2017
Pooled employer plans set to dominate small 401(k) market
Mar 29, 2017
REITs: Laggards, but for how long?
Mar 29, 2017
Broker faces sanctions after alleged email fraud: Finra
Mar 29, 2017
Merrill Lynch shakes up wealth management organization, leadership roles
Mar 29, 2017
DOL fiduciary rule changes not one size fits all
Mar 29, 2017
AssetMark entices Cetera's top techie to come aboard and help advisers grow
Mar 28, 2017
Department of Labor's fiduciary rule blamed for insurers' massive hit on variable annuity sales
Mar 28, 2017
Salesforce adds CRM features to help advisers grow businesses
Mar 28, 2017
Put the Dow's losing streak in perspective for clients
Mar 28, 2017
Record keeper Empower jumps into HSA market, as Fidelity expands
Mar 28, 2017
Employee feud scaring clients of Independent Portfolio Consultants
Mar 28, 2017
Professors give themselves a 'B' in financial literacy
Mar 28, 2017
UBS team in Lexington, Ky. leaves to form RIA
Mar 28, 2017
Vanguard shareholders in 15 funds get fee break
Mar 27, 2017
SEC slaps restraining order on Chicago adviser for allegedly scamming seniors
Mar 27, 2017
Brokers riled by overlapping enforcement penalties from multiple regulators
Mar 27, 2017
LPL loses $200M team to HighTower St. Louis
Mar 27, 2017
When machinery makes financial advisers' work obsolete
Mar 27, 2017
Bill Gross ends lawsuit with Pimco for $81 million and his reputation intact
Mar 27, 2017
Tontines could be making a comeback, providing alternative for retirement income
Mar 27, 2017
Wells Fargo Advisors' Intuitive Investor robo-adviser technology files ADV registration
Mar 27, 2017
Hiring freeze and budget cuts impact Social Security claims
Mar 27, 2017
Tips for managing clients' health care expenses in retirement
Mar 26, 2017
Fidelity's RIA business: a strong No. 2 that's working harder
Mar 26, 2017
Advisers must find their "unfair advantage" - Canter
Mar 26, 2017
Change in Washington shouldn't include cutting tax deferrals
Mar 24, 2017
How taxpayers hurt themselves with nondeductible IRA contributions
Mar 24, 2017
Broker, RIA found guilty of $15 million stock fraud
Mar 24, 2017
Act fast to Trump-proof your retirement strategy
Mar 24, 2017
Resolving Nick Schorsch's legal problems taking a long time
Mar 24, 2017
Morgan Stanley eliminating commissions, finder's fees in 401(k) plans
Mar 24, 2017
Financial Media Exchange buys AdviceIQ
Mar 24, 2017
Merrill Lynch and Morgan Stanley: A tale of two fiduciary 401(k) business models
Mar 24, 2017
Remember the tech wreck? For some, the hurting hasn't stopped
Mar 23, 2017
Trumpcare may put a stop to your plans for early retirement
Mar 23, 2017
Could you be saving too much for retirement?
Mar 23, 2017
Investor optimism highest since 2000: Wells Fargo/Gallup Investor and Retirement Index
Mar 23, 2017
Merrill Lynch woos $343 million Morgan Stanley team
Mar 23, 2017
Community bank B-D fined for selling seniors unsuitable investments
Mar 23, 2017
SEC moving to bar former broker from Financial Network Investment Corp.
Mar 23, 2017
SEC chairman nominee Clayton not asked about key adviser issues, reveals no specific plans
Mar 23, 2017
eMoney Advisor targets large RIAs, B-Ds and banks
Mar 23, 2017
Vanguard's Joe Davis on interest rates, the US economy and what the Federal Reserve will do next
Mar 23, 2017
Should your firm offer a robo-advice platform? Here's what your peers are doing
Mar 23, 2017
American Funds clobber Lipper Awards for target-date funds
Mar 23, 2017
The full list of 2017 Lipper Fund Awards winners
Mar 22, 2017
Finra launches '360' initiative to review operations, 'look at ourselves from all perspectives,' says CEO Robert Cook
Mar 22, 2017
Labor Secretary nominee Alexander Acosta says little about DOL fiduciary rule
Mar 22, 2017
Bipartisan bill seeks to ease hurdle for small-business retirement plans
Mar 22, 2017
Tax cut optimism may be overblown
Mar 22, 2017
A case of disappearing shares
Mar 22, 2017
Taxpayers only hurting themselves by not mentioning their nondeductible IRA contributions
Mar 22, 2017
Five advisers create $250 million hybrid in Ohio
Mar 22, 2017
Schwab software development exec Timothy Betts joins CRM provider Junxure
Mar 22, 2017
Labor secretary nominee Acosta will follow Trump's direction on DOL fiduciary rule
Mar 22, 2017
Dawn Bennett loses $1 million arbitration claim
Mar 22, 2017
Raymond James picks up $112 million team from Morgan Stanley
Mar 22, 2017
Merrill loses $350 million team to Raymond James
Mar 21, 2017
Texas judge shoots down latest effort to halt DOL fiduciary rule
Mar 21, 2017
RIAs make the case for charging on a client's total net worth
Mar 21, 2017
Retirement market needs 401(k) generalists, not just specialists: execs
Mar 21, 2017
Raymond James attracts $350M Merrill team
Mar 21, 2017
SEC watchers say Trump may not follow traditional party split on regulatory panel
Mar 21, 2017
401(k) plan sponsors want financial advisers to better know their businesses
Mar 20, 2017
Adviser gets seven years for Ponzi scheme
Mar 20, 2017
Finra bars owner of New Jersey broker-dealer
Mar 20, 2017
Fidelity's David Canter makes financial advice his Boston Marathon cause
Mar 20, 2017
Clients aren't listening on purpose: behavioral finance report
Mar 20, 2017
Wells Fargo loses employee broker duo to Raymond James
Mar 20, 2017
Rules governing indexed universal life insurance may not go far enough
Mar 20, 2017
Tax reform could be 'way worse' for retirement industry than Department of Labor's fiduciary rule: Graff
Mar 20, 2017
Expect slow but steady economic growth worldwide
Mar 19, 2017
Large advisory shops build custom target-date funds
Mar 19, 2017
Discrimination against women advisers via harsher punishment must stop
Mar 19, 2017
Faltering congressional support for auto-IRAs leaves legislation up to states
Mar 19, 2017
Adviser or advisor? The debate rages on
Mar 19, 2017
Despite uncertainty, Department of Labor fiduciary rule upends 401(k) biz
Mar 19, 2017
Metamorphosis of DC investment-only wholesalers
Mar 19, 2017
Retirement gets a deeper dive
Mar 19, 2017
Plan sponsors want help with DOL fiduciary duties
Mar 19, 2017
Social media's place in marketing
Mar 17, 2017
Help wealthy clients to avoid deadbeat kids
Mar 17, 2017
Advisor vs. Adviser: The "Os" have it!
Mar 17, 2017
Small funds get less Morningstar attention, says industry watcher
Mar 17, 2017
LPL spent big on recruiting in 2016
Mar 17, 2017
House Democrats denounce DOL rule delay as comment period closes
Mar 16, 2017
Former adviser sentenced to six months for insider trading
Mar 16, 2017
How advisers can protect clients' data from fraud
Mar 16, 2017
Why Warren Buffett thinks America's best days still lie ahead
Mar 16, 2017
Medicare rules differ for small business owners and employees
Mar 16, 2017
Finra is asking broker-dealers, 'What's in your clients' 529 savings plans?'
Mar 16, 2017
The case for more prominently disclosing compensation and conflicts of interest
Mar 16, 2017
Some active target-date fund managers shine as passive management continues 401(k) onslaught
Mar 16, 2017
Retirement industry to undergo major changes with or without DOL fiduciary rule
Mar 16, 2017
Confidence: How you can give it to young financial advisers and watch them run with it
Mar 16, 2017
Small-market retirement plan advisers face big-time challenges
Mar 16, 2017
Finra's lobbying expenses down, but regulator still spends heavily to make sure its voice is heard on Capitol Hill
Mar 15, 2017
Why keeping inheritance expectations realistic can help avoid conflict later
Mar 15, 2017
Broker-dealer Aegis Capital facing investigation from Finra, SEC and FINCEN
Mar 15, 2017
Merrill Lynch outlines plans for its 401(k) fiduciary platform
Mar 15, 2017
Investors flee some low-volatility funds — possibly at worst time
Mar 15, 2017
InvestmentNews expands retirement plan adviser coverage
Mar 15, 2017
Fired Waddell & Reed broker barred by Finra
Mar 15, 2017
Hall of famer Mike Piazza's 'distant cousin' leaves Merrill Lynch for Raymond James
Mar 15, 2017
Financial Planning Coalition: DOL fiduciary rule delay harms investors, violates regulatory requirements
Mar 15, 2017
Why the best portfolios mix active and passive investments
Mar 15, 2017
Keep calm and carry on with both commissions and fees
Mar 15, 2017
Will the DOL fiduciary rule kill 401(k) plan referrals?
Mar 15, 2017
How to service small retirement plans and still make a profit
Mar 14, 2017
6 essential ingredients to life insurance advice
Mar 14, 2017
Why Robert Shiller is so suspicious of the Trump rally
Mar 14, 2017
National Holdings Corp. acquires independent broker-dealer WFG Investments
Mar 14, 2017
Wells Fargo loses a $500M team to Ameriprise
Mar 14, 2017
The Department of Labor's fiduciary rule: Where are we now?
Mar 14, 2017
How independent financial advisers can build practices that thrive regardless of DOL fiduciary rule outcome
Mar 14, 2017
DOL fiduciary rule opponents file injunction in Dallas court
Mar 14, 2017
J.P. Morgan moves ahead on dropping retirement commissions
Mar 13, 2017
Meet the Social Media Adviser
Mar 13, 2017
Donald Trump vs. Bill Clinton: Same age, but different IRA rules
Mar 13, 2017
Research finds double standard for misbehaving female advisers
Mar 13, 2017
Medicare rules differ for small business owners and employees
Mar 13, 2017
Client wins $357K clawback in arbitration from Wells Fargo over unsuitable investments
Mar 13, 2017
How to help clients who are going through major life events
Mar 13, 2017
Merrill Lynch pair with $200M in AUM move to HighTower
Mar 13, 2017
Alternatives in the mainstream – A growth opportunity for advisers
Mar 12, 2017
DOL must put the fiduciary delay to good use, integrate past work
Mar 12, 2017
Helping investors keep their footing in shifting sands
Mar 10, 2017
Investors accuse Nicholas Schorsch of plundering RCAP for own gain
Mar 10, 2017
RIAs take a soft approach to cross-selling
Mar 10, 2017
Gray divorce presents Social Security challenges
Mar 10, 2017
The bull market for wirehouse recruiting deals is over. What will happen next?
Mar 10, 2017
Morningstar makes bid to offer mutual funds for exclusive use of advisers
Mar 10, 2017
Merrill Lynch may be positioning itself for more commission flexibility in the future
Mar 10, 2017
Asking the SEC's Michael Piwowar to reconsider who will end up the real 'forgotten investors'
Mar 10, 2017
DOL issues bulletin to ease confusion over near-term fiduciary rule compliance
Mar 09, 2017
The bull market for wirehouse recruiting deals is over. What will happen next?
Mar 09, 2017
Voya to pay $3.1 million for disclosure violations
Mar 09, 2017
Raymond James recruits $138M Merrill Lynch team
Mar 09, 2017
Don't count on the Trump Bump for your retirement
Mar 09, 2017
Fidelity's Joel Tillinghast on how he finds good, cheap, small-cap stocks
Mar 09, 2017
Cetera adds $1B bank wealth platform
Mar 09, 2017
Finra slaps former BB&T broker for selling away pot-equipment stocks
Mar 09, 2017
Cybersecurity, markets and fee pressure top RIA concerns
Mar 09, 2017
Senate panel approves bill to promote ETF research
Mar 09, 2017
Merrill suggests it may reverse course on commissions
Mar 09, 2017
Morgan Stanley debuts fiduciary product for small 401(k) plans, with eye toward DOL rule
Mar 09, 2017
Senate Democrats push Finra to create fund to compensate investors for unpaid arbitration claims
Mar 08, 2017
Fired Merrill broker took client money for kids' schooling: Finra
Mar 08, 2017
Two of Royal Alliance's largest OSJs merge
Mar 08, 2017
Expect a spring torrent of new mutual fund share classes
Mar 08, 2017
InvestmentNews recognizes Deena Katz's contribution to college planning programs
Mar 08, 2017
401(k) advisers, take heed of guidance on hardship withdrawals for clients
Mar 08, 2017
Jim Putnam returns to LPL as chairman of the board
Mar 08, 2017
Nasdaq courts advisers with new private-equity trading platform
Mar 08, 2017
Brokers-dealers move to trim fund offerings as they adjust to DOL rule
Mar 08, 2017
Finra accepting comments on rule change to allow investment-strategy projections
Mar 08, 2017
Study finds most retirees want guaranteed lifetime income
Mar 07, 2017
Con artist gets 15 months for defrauding broker-dealers
Mar 07, 2017
Impact investing portfolios that come with a performance guarantee
Mar 07, 2017
Advisers embrace elimination of Obamacare taxes, question GOP replacement plan
Mar 07, 2017
J.P. Morgan faces second suit alleging self-dealing in 401(k) plan
Mar 07, 2017
Elected officials held to fiduciary standard
Mar 07, 2017
Lebenthal sells major stake to South Street Securities
Mar 07, 2017
Fidelity, Empower and T. Rowe take three different approaches to the DOL fiduciary rule
Mar 07, 2017
Help protect clients from scam attacks
Mar 06, 2017
Lebenthal family seeking to sell firm
Mar 06, 2017
Fidelity puts David Canter in charge of RIA segment
Mar 06, 2017
'Green bond' ETF launched by VanEck
Mar 06, 2017
SEC enforcement unit bracing for budget cuts under Trump
Mar 06, 2017
Merrill Lynch team with $150M AUM joins Janney Montgomery Scott
Mar 06, 2017
Judge orders advisory firm to give up Ariel name
Mar 06, 2017
Finra bars broker-dealer owner for false testimony, fabricated documents
Mar 06, 2017
Prospects for independent adviser exams fade with increased SEC efficiency, Piwowar resistance
Mar 06, 2017
Tighter SEC budget likely to keep RIA audits few and far between
Mar 06, 2017
Clients fret as bull market reaches 8th birthday
Mar 06, 2017
5 investment trends behind growth in sustainable and impact investing
Mar 06, 2017
Senate moves to kill DOL's state, city auto-IRA rules
Mar 05, 2017
The accredited investor rule should be redefined, not erased
Mar 05, 2017
Impact investing in the age of President Trump
Mar 05, 2017
Doing a better job articulating adviser value
Mar 03, 2017
Advisers' expectations for Trump's tax reform high
Mar 03, 2017
RIA Marc Broidy pleads guilty to stealing $1.5M from clients
Mar 03, 2017
Bill Gross' Pimco successor, Dan Ivascyn, is on a hot streak
Mar 03, 2017
Point-Counterpoint: Should employers have a fiduciary duty to their 401(k) plans?
Mar 03, 2017
Post-election confidence leads to gains for domestic stock funds
Mar 03, 2017
LPL gets mixed reviews for recruiting more to corporate RIA platform
Mar 03, 2017
Helping women get ahead in financial services
Mar 03, 2017
DOL removes consumer FAQs on fiduciary rule from its website
Mar 02, 2017
IRS turns up heat on wealthy taxpayers
Mar 02, 2017
Wealthy parents could get most help from Trump child-care plan
Mar 02, 2017
Securities America to pay another $1 million to Medical Capital Holdings investors in Massachusetts
Mar 02, 2017
Adviser's tweet about widow of fallen Navy SEAL sends firm into crisis PR mode
Mar 02, 2017
A caution light for high-yield bonds
Mar 02, 2017
Unrealistic optimism coloring workers' retirement views: BlackRock survey
Mar 02, 2017
Why advisers should update at least one tech system every year
Mar 02, 2017
Dodd-Frank reform may be put on back burner
Mar 02, 2017
Taking value into account could improve target-date results: study
Mar 02, 2017
Morgan Stanley reps in Colorado join Raymond James
Mar 02, 2017
How retirement plan advisers can create the ideal practice
Mar 02, 2017
Piwowar blasts DOL fiduciary rule, says SEC should have 'comprehensive discussion' of advice standards
Mar 01, 2017
This robot wants to change how you do your taxes
Mar 01, 2017
DOL proposes 60-day delay to fiduciary rule
Mar 01, 2017
IRS guidance on 401(k) hardship withdrawals clarifies uncertain terrain
Mar 01, 2017
The Hartford wins excessive-fee lawsuit
Mar 01, 2017
TD Ameritrade jumps into pricing battle with Fidelity and Schwab
Mar 01, 2017
Raymond James loses $762,000 penny stock arbitration claim
Mar 01, 2017
Delay of DOL fiduciary rule likely to extend beyond 60 days
Mar 01, 2017
4 ways to position your practice to attract more high-net-worth clients
Mar 01, 2017
Advisers' confidence in Trump soars after president's address to Congress
Mar 01, 2017
Finra bars rep for $15M in unauthorized trades for retiree
Mar 01, 2017
OSJs: Add Value and Increase Rep Stickiness with Well-Planned Branch Events
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