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Site Map for April 2017
Date
Title
Apr 30, 2017
Donald J. Trump's first 100 days: the highs and lows
Apr 29, 2017
John Bogle says investors don't need to own international stocks
Apr 29, 2017
Smart-beta ETFs shine
Apr 29, 2017
Is it time to go international?
Apr 29, 2017
Fixed-income ETF rankings for first quarter 2017
Apr 29, 2017
Equity ETF rankings for first quarter 2017
Apr 28, 2017
Vanguard fires another salvo in the fee war
Apr 28, 2017
Finra bars former broker for unsuitable trades
Apr 28, 2017
9 fund companies poised to be best business partners for advisers: Morningstar
Apr 28, 2017
Ask the Ethicist: What should an adviser do if their former firm violates a non-compete agreement?
Apr 28, 2017
The SEC would have to jump through hoops to get approval for its own fiduciary rule
Apr 28, 2017
Trump's first 100 days: What happened to your money
Apr 28, 2017
Social Security: Later is better
Apr 27, 2017
This generation is most susceptible to an IRS scam
Apr 27, 2017
Why Social Security is becoming a better deal for the wealthy
Apr 27, 2017
Death of the 'blind squirrel' 401(k) adviser greatly exaggerated
Apr 27, 2017
Trump's plan to ditch AMT welcomed by advisers, but tax savings may be minimal
Apr 27, 2017
Trump's first 100 days a disappointment to financial advisers
Apr 27, 2017
Finra bars former UBS broker
Apr 27, 2017
Jailed former LPL rep faces SEC fraud charges
Apr 27, 2017
Trump tax proposal leaves advisers in the dark on estate tax repeal
Apr 27, 2017
Merrill Lynch veteran moves to Raymond James
Apr 27, 2017
Doubling standard deduction could hurt philanthropic giving
Apr 27, 2017
Conduct due diligence on bond funds beyond a performance review
Apr 27, 2017
Raymond James CEO Paul Reilly talks taxes and the firm's earnings
Apr 27, 2017
Think you're an expert on market sentiment? So does everyone else
Apr 27, 2017
Industry groups tell Acosta to make extension of DOL fiduciary rule delay his first order of business
Apr 27, 2017
Donald J. Trump's first 100 days
Apr 26, 2017
No slow down in recruiting at Raymond James as advisers prepare for DOL fiduciary rule
Apr 26, 2017
Is tax-loss harvesting really that beneficial?
Apr 26, 2017
BlackRock's two-tier ETF pricing system is working
Apr 26, 2017
Nationwide Securities loses hybrid team to LPL
Apr 26, 2017
Social Security: Later is better
Apr 26, 2017
Trump's tax plan could be big win for RIAs
Apr 26, 2017
Retirement savings still a potential target in tax reform negotiations
Apr 26, 2017
Finra issues complaint against broker for unsuitable variable annuity sales
Apr 26, 2017
Encourage financial literacy by speaking to clients' emotional priorities
Apr 26, 2017
What advisers should know about the Trump tax proposal
Apr 26, 2017
Understanding the components of investment return
Apr 26, 2017
Fixed-income investors: Do you know what you own?
Apr 25, 2017
Stocks and bonds sending out divergent outlooks on economy
Apr 25, 2017
Vanguard, iShares dominate ETFs in April
Apr 25, 2017
XY Planning Network holds fintech competition
Apr 25, 2017
William Galvin blasts House Financial CHOICE Act
Apr 25, 2017
Market downturns in first few years of retirement can thwart best-laid plans
Apr 25, 2017
Morgan Stanley snags national sales director Jeffrey Tucker from Merrill Lynch
Apr 25, 2017
Consultant tells advisers to start early to help clients deal with issues surrounding aging
Apr 25, 2017
How to use technology for business development
Apr 25, 2017
Dimensional Fund Advisors' David Booth on competition, the DOL fiduciary rule and his company's future
Apr 25, 2017
SEC charges former broker with putting customers in unsuitable, risky investments
Apr 25, 2017
Financial Planning Coalition opposes spending bill riders that would kill DOL fiduciary rule
Apr 24, 2017
Some broker-dealers changing indexed-annuity compensation due to DOL fiduciary rule
Apr 24, 2017
Experts say DOL fiduciary rule's fate, timing uncertain, changes likely
Apr 24, 2017
Nuveen adds direct real estate to target-date funds
Apr 24, 2017
Ameriprise buying bank broker-dealer, adding 200 registered representatives
Apr 24, 2017
8 tips for keeping your passwords safe on social media, the web and in apps
Apr 24, 2017
UBS, Merrill Lynch advisers form $500 million RIA team
Apr 24, 2017
Charles Schwab executive Jeffrey Kleintop debunks idea of 'Trump rally,' attributes market climb to fundamentals
Apr 24, 2017
Avoid these common RMD mistakes
Apr 23, 2017
Top independent broker-dealers by revenue and payout
Apr 22, 2017
Independent broker-dealers hit a wall
Apr 22, 2017
Setting a new price for financial adviser services
Apr 22, 2017
Independent broker-dealer revenue on the decline
Apr 21, 2017
A look inside the spending habits of the 1%
Apr 21, 2017
Getting mom and pop investors into private equity proves to be an elusive goal
Apr 21, 2017
Retirees embrace the gig economy
Apr 21, 2017
Financial counseling adds new area of expertise to financial advice industry
Apr 21, 2017
Retirees embrace the gig economy
Apr 21, 2017
Former RIA gets year probation for obstructing SEC investigation into referral fee
Apr 21, 2017
TD Ameritrade and Fidelity tweak RIA referral fees ahead of DOL fiduciary rule
Apr 21, 2017
Adviser's Consultant: Boosting female advisers inside and outside the firm
Apr 21, 2017
Piwowar says it's time for SEC to 'reassert its role' on investment advice standards
Apr 20, 2017
More millennials who live at home don't work
Apr 20, 2017
In K-12 403(b) plans, employees and their unions can be their own worst enemy
Apr 20, 2017
The future of tax preparation? Getting your taxes done without answering a single question
Apr 20, 2017
Bond funds soar as stocks slump and hopes for economy start to dim
Apr 20, 2017
Asset Vantage acquires Financial Navigator
Apr 20, 2017
Seniors get help and $4.3 million from Finra hotline
Apr 20, 2017
SEC enforcement actions against broker-dealers up 20%
Apr 20, 2017
Colorado proposes new cybersecurity rules for advisers
Apr 20, 2017
Robo offers white-label version for advisers
Apr 20, 2017
Berthel Fisher, once again, in hot water with Finra for failing to supervise sales
Apr 20, 2017
Raymond James to pay $172M for Scout Investments
Apr 20, 2017
The five biggest myths about impact investing
Apr 20, 2017
How technology will alter the role of human advisers in wealth management
Apr 20, 2017
If only alpha were easy
Apr 19, 2017
Focus Financial's latest private equity partnership puts IPO on back burner
Apr 19, 2017
Ric Edelman proposes Social Security fix: Allot $7,000 for each baby
Apr 19, 2017
Private equity firms take controlling interest in Focus Financial
Apr 19, 2017
Merrill Lynch team managing $400 million moves to Raymond James
Apr 19, 2017
Ex-Merrill Lynch broker pleads guilty to $8.7 million bank fraud
Apr 19, 2017
Former broker wins $1.8 million arbitration award against PNC Investments for wrongful firing, defamation
Apr 19, 2017
Robo adviser Wealthfront now offering loans, not just advice
Apr 19, 2017
Millennials' financial habits and priorities differ from Gen X, boomers
Apr 19, 2017
Wells Fargo duo moves to HighTower
Apr 19, 2017
Income with Impact: The Investment Case for Green Bonds
Apr 18, 2017
Why a GOP tax proposal could be bad news for your clients
Apr 18, 2017
With DOL fiduciary rule looming, Merrill sees surge of AUM
Apr 18, 2017
Oranj buys majority share in rebalancing software firm Trade Warrior
Apr 18, 2017
Even supporters of DOL fiduciary rule call for modifications
Apr 18, 2017
7 social media mistakes financial advisers should never make
Apr 18, 2017
Wells Fargo loses $700 million team to Raymond James
Apr 18, 2017
How to make the most of human and robo-advice
Apr 18, 2017
Expedite your sales with an organizational revamp
Apr 18, 2017
Franklin Templeton's Mark Mobius on state of globalism, China rising and best of emerging markets
Apr 18, 2017
New mutual funds under DOL fiduciary rule could save investors at least 0.50% in returns: Morningstar
Apr 17, 2017
Fees, lawsuits top concerns for defined contribution executives
Apr 17, 2017
Dynasty Financial Partners adds $750 million RIA
Apr 17, 2017
Supreme Court to hear financial adviser case involving disgorgement
Apr 17, 2017
For Vanguard, a tsunami of money means more employees and lower fees
Apr 17, 2017
Advisers split on whether cutting fees for clients is good business
Apr 17, 2017
SIFMA wants a 'time out,' seeking longer delay of DOL fiduciary rule
Apr 16, 2017
Advisers use technology to attract millennials
Apr 16, 2017
Tech tools not always the answer for clients
Apr 16, 2017
Advisers who are already fiduciaries should shout it from the rooftops
Apr 16, 2017
Where tech dollars at advisory firms are being spent
Apr 14, 2017
Help clients use qualified charitable distributions to save on taxes
Apr 14, 2017
What independent financial advisers need from broker-dealers when it comes to the DOL fiduciary rule
Apr 14, 2017
Finra arbitration panel awards Wilbanks Securities investor $1 million for misleading sales pitch on variable annuity
Apr 14, 2017
BlackRock paid CEO Laurence Fink $25.5 million last year
Apr 14, 2017
Raymond James settles Vermont ski resort claims for $150 million
Apr 14, 2017
Social Security update for same-sex couples
Apr 13, 2017
Top 10 record keepers of defined contribution plans
Apr 13, 2017
Robo-advisers offering incentives to attract new clients
Apr 13, 2017
Wells Fargo loses $230M team to Raymond James
Apr 13, 2017
DOL faces tough road in revising or repealing fiduciary rule
Apr 13, 2017
Wells Fargo scandal cost the bank another 225 reps
Apr 13, 2017
HighTower CEO confirms it is buying WealthTrust, its biggest deal ever
Apr 13, 2017
RIAs zero in on golden goose of client prospecting: entrepreneurs
Apr 13, 2017
What will be the next big thing for 401(k) plans?
Apr 13, 2017
President Trump signs resolution to effectively kill city auto-IRA rule
Apr 13, 2017
Does Yale endowment's defense of higher-fee active management hold water?
Apr 12, 2017
Courses available to become a Medicare pro
Apr 12, 2017
JP Morgan Chase puts off plan to move some clients to self-directed platform
Apr 12, 2017
How your tax data could be sold on the internet
Apr 12, 2017
25 companies that pay the most
Apr 12, 2017
Here's the countries where taxes are highest
Apr 12, 2017
Finra asks for comments on underwriting rules
Apr 12, 2017
Active fund managers underperform once again: S&P
Apr 12, 2017
State insurance commissioners consider strengthening annuity sales rules
Apr 12, 2017
Free online tax filing proposed in Senate
Apr 12, 2017
Former LPL broker sentenced to 3 1/2 years in prison for robbing elderly, infirmed client
Apr 12, 2017
Morgan Stanley reaches $1 million settlement with Massachusetts over high-pressure sales contest
Apr 12, 2017
Brinker Capital rolls out DOL fiduciary rule-friendly funds
Apr 12, 2017
Investors pour into bond funds in March
Apr 12, 2017
An insider's view of the inaugural Icons and Innovators luncheon
Apr 11, 2017
New Advicent chief Angela Pecoraro aiming for growth
Apr 11, 2017
Advisers should heed fiduciary principles in ongoing Tibble 401(k) suit
Apr 11, 2017
Why the Senate should overturn state retirement rules
Apr 11, 2017
Fake news! SEC warns that some investment research is a sham
Apr 11, 2017
JPMorgan and former brokers reach $5.7 million settlement to end overtime pay dispute
Apr 11, 2017
More 401(k) advisers face litigation risk in June under DOL fiduciary rule
Apr 11, 2017
Retirement plan advisers should bone up on lifetime income
Apr 10, 2017
BlackRock sued for alleged self-dealing in its 401(k) plan
Apr 10, 2017
Finra arbitrators add more detail to expungement decisions
Apr 10, 2017
Listed funds offer access to private equity with liquidity
Apr 10, 2017
Finra updates sanction guidelines to address financial exploitation of clients
Apr 10, 2017
Merrill Lynch plans to hire more young advisers
Apr 10, 2017
To serve millennials, advisers must adjust not only fees but their mindset
Apr 10, 2017
Social Security update for same-sex couples
Apr 09, 2017
5 regulatory issues every financial adviser should be watching
Apr 09, 2017
Time for an in-depth look at regulatory duplication
Apr 09, 2017
Building career pathways to attract millennials
Apr 07, 2017
Here's where millennials lag behind their baby boomer parents
Apr 07, 2017
Pimco's Dan Ivascyn is relieved firm's lawsuit with Bill Gross is over
Apr 07, 2017
Gold shines in an uncertain bull market
Apr 07, 2017
How you can reduce what you spend on tax preparation this year
Apr 07, 2017
Advisers profit through association with Dave Ramsey — but not by as much as in the past
Apr 07, 2017
Pepsi's Kendall Jenner TV ad misstep could happen to advisers
Apr 07, 2017
How to define yourself as a life insurance adviser
Apr 07, 2017
HighTower in talks to acquire 10 WealthTrust RIAs
Apr 07, 2017
3(38) vs. 3(21) investment fiduciary services: the pros and cons for 401(k) advisers
Apr 06, 2017
Arizona broker-dealer settles charges it underwrote fraudulent muni bonds
Apr 06, 2017
Judge in Putnam 401(k) suit deals potential setback to plaintiffs using Vanguard as fee benchmark
Apr 06, 2017
How criminals trick people out of their life savings
Apr 06, 2017
Nontraded BDC to pursue listing on national exchange
Apr 06, 2017
Schwab says slow growth of franchise channel is by design
Apr 06, 2017
SEC explores ways to strengthen compliance of independent advisers
Apr 06, 2017
Financial advisers should focus on millennials, not baby boomers, says J.D. Power
Apr 06, 2017
Senate, House introduce bills mandating lifetime income disclosures for 401(k) plans
Apr 05, 2017
Is your pricing primitive or purposeful?
Apr 05, 2017
Watch your mouth on social media — or else
Apr 05, 2017
Beware the potential pitfalls of investing in infrastructure funds
Apr 05, 2017
Opponents troubled by mere 60-day delay of DOL fiduciary rule
Apr 05, 2017
Morgan Stanley loses $1 million producer to Raymond James
Apr 05, 2017
'Retirement Rip-Off Counter' underscores impact of Department of Labor's fiduciary rule delay
Apr 05, 2017
New Orleans appeals court denies emergency injunction to stop DOL fiduciary rule
Apr 05, 2017
Broker-dealer practice management programs popular, but impact is hard to measure
Apr 05, 2017
RIAs say DOL rule delay doesn't matter because industry is moving toward fiduciary anyway
Apr 04, 2017
Betterment co-founder Eli Broverman steps down from day-to-day operations
Apr 04, 2017
Jay Clayton approved by Senate panel to be SEC chairman
Apr 04, 2017
SEC rejects appeal by Dawn Bennett
Apr 04, 2017
DOL fiduciary delay final rule expected to be released Wednesday
Apr 04, 2017
Advisers underwhelmed by LinkedIn's matching tool
Apr 04, 2017
Raymond James' Alex Brown unit loses team to SunTrust
Apr 04, 2017
Record $132 billion flowed into ETFs in first quarter
Apr 04, 2017
Captrust acquires Windsor Financial Group
Apr 04, 2017
DOL releases final rule delaying fiduciary implementation
Apr 03, 2017
Be vigilant about scams and fraud involving elder clients
Apr 03, 2017
Jay Clayton talked to several wealthy Trump backers before nomination to SEC
Apr 03, 2017
'Great skepticism' a primary trait for industry innovators: Bogle
Apr 03, 2017
First quarter stock performance soars, though investors pay a high price for it
Apr 03, 2017
Advisers must seize opportunity to deliver best-interest advice to clients
Apr 03, 2017
Help clients boost returns without increasing risk
Apr 03, 2017
Savvy RIAs are waving the fiduciary flag
Apr 03, 2017
How to spot fake answers from Social Security Administration reps
Apr 03, 2017
How independent broker-dealers can help advisers win new clients
Apr 02, 2017
Advisers must protect elderly from financial fraud
Apr 02, 2017
Why do we need self-regulatory organizations? - Cook
Apr 01, 2017
The Right Approach for Finding the Right Senior Partner
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