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Site Map for May 2017
Date
Title
May 31, 2017
Morgan Stanley to arm its financial advisers with algorithms to take over routine tasks
May 31, 2017
Illinois' financial woes present risk — and opportunity — to muni bond investors
May 31, 2017
How to achieve social media success in 15 minutes or less
May 31, 2017
Former Sterne Agee exec pleads guilty to pension fund bribery scheme
May 31, 2017
RMB Capital acquires VennWell
May 31, 2017
Advisers question Chamber report about harm from DOL rule
May 30, 2017
As Merrill Lynch and Morgan Stanley cut back, what's next for recruiting deals?
May 30, 2017
Wells Fargo, in 'atypical' outcome, wins 401(k) lawsuit
May 30, 2017
Merrill Lynch loses $110 million duo to Raymond James
May 30, 2017
SEC fines RIA $230,000 over conflicts
May 30, 2017
Vanguard to seize wealth management industry with its digital platform
May 30, 2017
Retirement fees could rise 200% post-DOL, Chamber of Commerce warns
May 30, 2017
Wells Fargo loses $160 million broker to Voya
May 30, 2017
What financial advisers need to consider before a website redesign
May 30, 2017
Complex strategies lead to lower returns: study
May 27, 2017
Managing income level risks for retired clients
May 27, 2017
The appeal and pitfalls of holding unconventional assets in retirement accounts
May 27, 2017
Erin Botsford: Building a financial services business that grows itself
May 27, 2017
DOL Fiduciary Rule: Acosta makes it clear that revisions are coming
May 26, 2017
New Jersey fines David Lerner Associates for nontraded REIT sales
May 26, 2017
Market gains concentrated in biggest stocks
May 26, 2017
Ask the Ethicist: What should advisers do when married clients have conflicting objectives?
May 26, 2017
Report predicts $400 trillion retirement savings gap by 2050
May 26, 2017
Wells Fargo's move to boost signing bonuses could give it a lift
May 26, 2017
Fee pressure has RIAs considering moving from AUM to retainer model
May 26, 2017
RIA models retainer fees after a McDonald's menu
May 26, 2017
Brokerage firms hunt for fintech in early-stage development
May 26, 2017
Voya re-entering buffer annuity market as product popularity grows
May 25, 2017
Managed accounts a solution for many investors
May 25, 2017
Trump is gutting rules that Corporate America hates
May 25, 2017
Robo-adviser takes a stake in Plancorp
May 25, 2017
SEC in-house judges challenged in DC appeals court that upheld them
May 25, 2017
Merrill Lynch team managing $240 million moves to Raymond James
May 25, 2017
Wells Fargo will ramp up spending to lure brokers
May 25, 2017
How financial advisers can drive more value into their practices
May 25, 2017
DOL fiduciary rule pushes indexed annuity carriers to develop new products
May 25, 2017
Communication is key to robo-advisers' plans to keep their clients on track in a downturn
May 24, 2017
Betterment targets more affluent investors
May 24, 2017
How to really improve your credit score
May 24, 2017
Americans are still scared to take all of their vacation days
May 24, 2017
Beware the 'below-average' fund fee in your retirement account
May 24, 2017
Are emerging markets the place to be when US stocks drop?
May 24, 2017
A Wells Fargo $180 million team starts an RIA
May 24, 2017
Texas legislature passes law protecting seniors from financial abuse
May 24, 2017
Why financial advisers need to rethink their strategies now
May 24, 2017
Investments that advisers should look at in an overheated market
May 24, 2017
How regulators will make or break the future of hybrid advisers
May 24, 2017
Wells Fargo Advisors restricting investments for retirement accounts
May 24, 2017
DOL fiduciary rule pushing broker-dealer assets to fee-based accounts, away from commissions
May 24, 2017
Rectifying Social Security's flawed advice
May 24, 2017
Simple disclosure of conflicts touted by opponents of DOL fiduciary rule not effective
May 24, 2017
DOL fiduciary rule provides retirement savers with needed protections
May 24, 2017
Knowledge-Based Investing: The Case for the HighMark Small Cap Core Fund
May 23, 2017
Trump budget seeking $3.6 trillion in cuts draws skepticism
May 23, 2017
In new fiduciary rule FAQs, DOL gives quasi-endorsement of clean shares
May 23, 2017
Millions go to Madoff fund lawyer, nothing for investors
May 23, 2017
Wells Fargo loses $130 million team to Raymond James
May 23, 2017
Rep barred for paying credit card bills with client money
May 23, 2017
Morgan Stanley joins competitors in cutting back on recruiting
May 23, 2017
Popularity of index funds and ETFs driving down average costs: Morningstar
May 23, 2017
Labor secretary Alexander Acosta gives DOL fiduciary rule supporters something to cheer about — at least for now
May 23, 2017
RIAs and broker-dealers charge ahead in prep for DOL fiduciary rule
May 23, 2017
DOL fiduciary rule reaction on Twitter
May 22, 2017
Wirehouses use predictive analytics to shore up goals-based planning
May 22, 2017
Meeting clients' high-tech expectations
May 22, 2017
Cybersecurity looms as adviser business threat
May 22, 2017
Regulation, politics dominate adviser concerns, survey finds
May 22, 2017
Vermont poised to become latest state to set up retirement plan for small businesses
May 22, 2017
Advisers want Congress to increase HSA contribution limits
May 22, 2017
Cambridge loses $120 million team to LPL
May 22, 2017
$160 million Merrill Lynch team exits for HighTower
May 22, 2017
Critics say Finra proposal on unpaid arbitration awards doesn't go far enough
May 22, 2017
Advisers go on the offensive, getting clients ready for the next market correction
May 22, 2017
Phyllis Borzi says opponents of DOL fiduciary rule face uphill climb to further delay or dilute it
May 22, 2017
Acosta declines to extend delay of DOL fiduciary rule
May 22, 2017
How over-emphasizing tax deductions can get your clients into trouble
May 22, 2017
Tips on lowering ETF transaction costs
May 21, 2017
How 401(k) advisers can create effective financial wellness programs
May 21, 2017
Advisers struggle to get 401(k) plan, participant data from record keepers
May 21, 2017
Ransomware attack underscores importance of cybersecurity
May 21, 2017
Retirement plan advisers turning to RIA aggregators to build practices
May 21, 2017
What plan sponsors look for in a 401(k) adviser
May 20, 2017
How 401(k) advisers can bullet-proof themselves against litigation risk under DOL fiduciary rule
May 20, 2017
Shrinking talent pool puts strain on advisory firms
May 20, 2017
Plan advisers give stable value another look
May 19, 2017
Progress stalls for modern working mothers — and economists are worried
May 19, 2017
Democratic senators criticize Acosta for rushing to conclusion on DOL fiduciary rule
May 19, 2017
Guess who's saving the most: Millennials
May 19, 2017
Use of multiple record keepers could hurt defendants in 403(b) lawsuits
May 19, 2017
Here's what recent college grads are making
May 19, 2017
Trump miscues, more cash becoming available will drive summer muni bond rally
May 19, 2017
Graduation gift? How about opening a Roth IRA for your client's daughter?
May 19, 2017
Is Dow Theory signaling a market downturn?
May 18, 2017
Rich retirees reluctant to spend cash
May 18, 2017
Wells Fargo FiNet loses $275 million team to Raymond James
May 18, 2017
President Trump signs resolution killing state auto-IRA rule
May 18, 2017
Would Trump's tax plan make your mortgage break worthless?
May 18, 2017
Low volatility funds live up to their name as market falls
May 18, 2017
Stock market's rally may have further to run
May 18, 2017
Nicholas Schorsch 'highly focused' on cash-flow metric at center of alleged ARCP fraud: Feds
May 18, 2017
DOL fiduciary rule opponents, lawmakers call for further delay at House hearing
May 18, 2017
Indexed, variable annuity sales slump as DOL fiduciary rule looms
May 17, 2017
D.A. Davidson advisers managing $177 million leave for Raymond James
May 17, 2017
Finra set to invest more in examiner training, provide more clarity on enforcement choices
May 17, 2017
SEC alerts advisers on WannaCry ransomware cyberattacks
May 17, 2017
LPL leads a big quarter for broker-dealer moves
May 17, 2017
Markets fall in reaction to Trump turmoil
May 17, 2017
How to serve clients during a Trump presidency
May 17, 2017
Finra fines Merrill Lynch $650,000 for bond trading violations
May 17, 2017
401(k) managed account competition heats up as Fidelity expands reach
May 17, 2017
Baird picks CAIS platform for hedge funds
May 17, 2017
Crapo calls for 'bipartisan, common-sense' reform of financial regulations
May 17, 2017
Addepar acquires AltX to expand in alternatives
May 16, 2017
Why rich retirees are so reluctant to spend their money
May 16, 2017
Harvard goes low-cost with big investment in high-yield bond ETF
May 16, 2017
Securities lending adds return, risk for funds
May 16, 2017
UBS veteran and $178 million team exit for Baird
May 16, 2017
Finra slaps broker with six-month suspension for failing to report $1 million in tax liens
May 16, 2017
Broker-dealers are seeing a cut in annual SIPC assessments; will advisers see the same?
May 16, 2017
Courts' interpretations of 401(k) fiduciary laws are changing
May 16, 2017
Changing state residency: Tax planning headaches and opportunities
May 16, 2017
Finra chairman John Brennan says DOL rule has raised standard for financial advice
May 16, 2017
SoFi to add human advisers to its digital wealth management platform
May 16, 2017
Broker-dealers try to hold the line on advisory and wrap account fees
May 15, 2017
Focus Financial inks record RIA deal with SCS Financial
May 15, 2017
Online security ETFs surge in face of cyberattacks
May 15, 2017
Oppenheimer & Co. loses $420M broker, manager to Raymond James
May 15, 2017
Cyberattack should prompt advisers to ask their IT professionals hard questions
May 15, 2017
Fidelity's approach to DOL fiduciary rule rankles some 401(k) advisers
May 15, 2017
Fidelity launches two ESG index funds
May 15, 2017
Finra reviewing rules on outside business activities and private securities transactions
May 15, 2017
Social Security Administration steps up online security
May 14, 2017
Best- and worst-performing international funds
May 14, 2017
Best- and worst-performing fixed-income funds
May 14, 2017
Best- and worst-performing equity mutual funds
May 13, 2017
Will the fiduciary rule shrink the ever-expanding world of share classes?
May 13, 2017
The truth about T shares
May 13, 2017
With U.S. stocks flying high, advisers should caution clients
May 12, 2017
Auto features are helping to fuel 401(k) growth
May 12, 2017
Investors turn to international equity funds in April
May 12, 2017
Average 401(k) balance hits new record, thanks to automated savings
May 12, 2017
TIAA to pay $5M in 401(k) excessive-fee suit
May 12, 2017
Power Financial invests $37 million in Wealthsimple as robo seeks bigger U.S. market share
May 12, 2017
5 costly inherited IRA mistakes
May 12, 2017
States scoop up investment accounts as unclaimed property
May 12, 2017
John F. Donahue, founder of Federated Investors, dies at 92
May 12, 2017
Merrill Lynch's move away from signing bonuses seen as risky
May 11, 2017
Cetera to integrate robo for advisers
May 11, 2017
Student loans are getting more expensive
May 11, 2017
Student loans just got more expensive
May 11, 2017
Milestone birthday triggers crucial financial decisions
May 11, 2017
NAPA says DOL secretary Alexander Acosta wants to freeze fiduciary rule
May 11, 2017
Merrill Lynch will allow IRA commissions in some circumstances under DOL fiduciary rule
May 11, 2017
How to handle clients who share Johnny Depp's alleged compulsive buying habits
May 11, 2017
Retirement taxes are not for sissies
May 11, 2017
Finra advances proposals to crack down on 'high-risk' brokers, unpaid arbitration awards
May 11, 2017
Trump's tax plan could fuel rally in MLP investments
May 11, 2017
What advisers actually want from robos
May 11, 2017
National Planning loses $420 million indie to FSC
May 11, 2017
Most estate plans aren't dealing with digital assets properly
May 11, 2017
Private equity adds fuel to 401(k) record-keeper consolidation
May 10, 2017
10 graduation gift ideas inspired by Warren Buffett
May 10, 2017
Bronfman acquisitions to push firm to $5 billion
May 10, 2017
Barclays will refund $97 million to advisory, brokerage clients
May 10, 2017
Fidelity launches savings plan for disabled children
May 10, 2017
Wall Street sounds off on Trump's firing of FBI Director James Comey
May 10, 2017
Cambridge's partnership program for advisers undergoes an overhaul
May 10, 2017
What's really behind the opposition to state auto-IRAs?
May 10, 2017
MLB managers can coach advisers through the robo-revolution
May 10, 2017
What financial advisers can learn from Amazon
May 09, 2017
9 more firms adopt fee disclosure template for clients
May 09, 2017
RIA consolidation hits new high in first quarter
May 09, 2017
Western International to acquire retail assets of Financial West as Kovack Securities picks up TKG Financial
May 09, 2017
A $420 million Merrill Lynch team joins LPL
May 09, 2017
Envestnet's Jud Bergman on helping advisers across the digital divide
May 09, 2017
Be a LinkedIn pro with these 9 tips
May 09, 2017
Once dominant, bank custodians still hold a coveted slice of RIA market
May 09, 2017
Former SEC accountant pleads guilty to illegal securities trading — and then lying about it
May 09, 2017
Social Security blocks clients' claiming strategies
May 08, 2017
Morgan Stanley's decision to cut Vanguard funds likely due to DOL fiduciary rule
May 08, 2017
Why Congress is making it tougher to retire
May 08, 2017
The conundrum of state-run retirement plans
May 08, 2017
What women want from financial advisers
May 08, 2017
Opponents of DOL fiduciary rule want SEC to modify suitability standard
May 07, 2017
New tax plan is a work in progress that needs advisers' input
May 07, 2017
Independent broker-dealer Triad Advisors sues former advisers
May 06, 2017
Managing client expectations is a big part of an adviser's job
May 06, 2017
Forget bingo! More Americans are working part-time in retirement
May 05, 2017
Health care now moves to a slow track in Senate
May 05, 2017
Milestone birthday triggers crucial financial decisions
May 05, 2017
Millennials design the financial service that would get them to invest
May 05, 2017
Morgan Stanley financial adviser managing $275 million forms RIA
May 05, 2017
OppenheimerFunds stays uniquely committed to Puerto Rico's muni bonds
May 05, 2017
ICI head casts doubt on further delay of DOL fiduciary rule
May 04, 2017
Include health savings accounts in fiduciary process
May 04, 2017
Where the winners and losers are in the housing recovery
May 04, 2017
Senate votes to kill state auto-IRA rule
May 04, 2017
Envestnet Tamarac launching new apps for advisers' clients, one with AI
May 04, 2017
House committee approves Dodd-Frank replacement bill that includes repeal of DOL fiduciary rule
May 04, 2017
Finra board to consider crackdown on high-risk brokers, unpaid arbitration awards
May 04, 2017
Morgan Stanley drops Vanguard mutual funds from platform
May 04, 2017
Advisor Group units fined for capital violations
May 04, 2017
Finra cites Cetera for mutual fund sales charge improprieties
May 04, 2017
CFP Board launches program to attract more women planners
May 04, 2017
Massachusetts fines LPL $1 million for failure to supervise advisers at credit union
May 03, 2017
The benefit advisers should be talking about with 401(k) plan sponsors
May 03, 2017
Putnam kicks off expanded ESG effort
May 03, 2017
Wells Fargo team managing $239 million joins Ameriprise
May 03, 2017
Diverse asset management firms are hard to find
May 03, 2017
House Democrats try to protect DOL fiduciary rule from repeal in Dodd-Frank overhaul bill
May 03, 2017
Dynasty Financial lures breakaways with new financing deal
May 03, 2017
LPL may have to refund up to $8 million to resolve New Hampshire REIT case
May 03, 2017
In departure from previous administration, SEC approves quadruple-leveraged fund
May 03, 2017
More ETFs getting put on deathwatch
May 02, 2017
The best-paying internships in America
May 02, 2017
Why more couples are using postnuptial agreements
May 02, 2017
Against the grain, RIAs see upside in active management
May 02, 2017
House approves bill to lift restrictions on brokers' ETF research reports
May 02, 2017
These investments could do well under Trump tax plan
May 02, 2017
Thinking about buying your first home? Try this calculator
May 02, 2017
Finra whacks mid-sized NJ broker-dealer with $325,000 fine over variable annuity sales
May 02, 2017
How to take half the year off and still grow your assets by 20% annually
May 02, 2017
Former Merrill Lynch broker convicted of wire fraud
May 02, 2017
Fund analysts debate Morningstar's move into money management
May 02, 2017
Passwords to become passé as more firms back biometrics
May 02, 2017
Court enters judgment against Connecticut adviser for Ponzi scheme
May 02, 2017
After his confirmation as SEC chairman, Jay Clayton is urged to tackle fiduciary standard
May 02, 2017
Merrill Lynch veteran moves to Raymond James
May 02, 2017
House GOP tells Acosta to delay — then repeal — DOL fiduciary
May 02, 2017
Wells Fargo's FiNet loses $300 million team to HighTower
May 02, 2017
$400 million Merrill Lynch rep moves to Raymond James
May 01, 2017
3 missteps that could stunt financial advisers' growth
May 01, 2017
How Social Security treats remarriage
May 01, 2017
Provision to kill DOL fiduciary rule left out of funding bill
May 01, 2017
Trump agenda spawns new ETFs that align with his policies
May 01, 2017
Large independent broker-dealers continue to make headway with recruits
May 01, 2017
Judge declines to dismiss indictment against former ARCP CFO Brian Block
May 01, 2017
Advisers getting left behind as broker-dealers respond to Finra priority letter
May 01, 2017
How to handle getting fired by a client
May 01, 2017
The Reality of Investing in a Misunderstood Europe
May 01, 2017
Integration—The Holy Grail of Financial Technology
May 01, 2017
Increase your probability of success in the bond market
May 01, 2017
5 tips for using social media to grow your practice
May 01, 2017
3 Obstacles to Smooth Successions
May 01, 2017
How to pair your investments with your values and still come out okay
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