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Site Map for June 2017
Date
Title
Jun 30, 2017
Finra makes up for 2016 operating revenue hit with big increase in fine income
Jun 30, 2017
ARCP Ex-CFO Brian Block guilty of securities fraud
Jun 30, 2017
Connecticut governor signs bill to improve 403(b) plan fee transparency
Jun 30, 2017
Are regulators equipped to monitor robo-advisers as fiduciaries?
Jun 29, 2017
Finra board elects William Heyman chairman
Jun 29, 2017
Don't mess with Social Security disability rules
Jun 29, 2017
An adviser's guide to Social Security survivor benefits
Jun 29, 2017
As trial of ARCP CFO Brian Block comes to close, two sides engage in smear campaign against witnesses
Jun 29, 2017
Fintech sales take off after DOL fiduciary rule's partial implementation
Jun 29, 2017
DOL issues request for comment on fiduciary rule to guide review, possible revisions of measure
Jun 29, 2017
Advisory firms rethinking how they deliver value: Fidelity survey
Jun 28, 2017
Wealth management firms struggle with lower fees, fewer new clients
Jun 28, 2017
Don't guess, grade your own social media performance with analytics
Jun 28, 2017
Men vs. Women: Who is smarter when it comes to credit?
Jun 28, 2017
TD Ameritrade adds video performance reports for robo-advice clients
Jun 28, 2017
Dan Wiener, Vanguard's gadfly, has keen eye on investing
Jun 28, 2017
Nationwide's 401(k) record-keeping fees are excessive, lawsuit claims
Jun 28, 2017
RIAs must confront the emotional side of letting go of their business
Jun 28, 2017
Feds move to undermine CFO Brian Block's defense of inaccurate financial filings at ARCP
Jun 28, 2017
ETF licenses the name of Quincy Jones to draw attention to its fund
Jun 28, 2017
UBS loses $793,000 in Puerto Rico bond arbitration case
Jun 28, 2017
Waddell & Reed latest active fund manager sued for 401(k) self-dealing
Jun 27, 2017
AssetMark offers advisers free tool to value their business
Jun 27, 2017
Brian Block denies cooking the books at Schorsch REIT
Jun 27, 2017
Labor's Alexander Acosta and SEC's Jay Clayton tell lawmakers they will work together on fiduciary rule
Jun 27, 2017
Despite leaner budgets, SEC's Clayton anticipates a 5% increase in adviser exams next year
Jun 27, 2017
$3.5 billion adviser team leaves UBS for Raymond James
Jun 27, 2017
Morningstar's first study of 10 largest HSAs reveals so-so performance
Jun 27, 2017
The First 90 Days:
Jun 26, 2017
Credit vs. debit: Which is the better choice?
Jun 26, 2017
Advice firm carves out unit for women investors
Jun 26, 2017
Gold tumbles after 1.8 million ounces trade in one minute
Jun 26, 2017
'Less pressure' on changes to defined contribution plans under tax reform: Graff
Jun 26, 2017
RIA adviser gets two years in prison for cherry-picking trades
Jun 26, 2017
$500 million Wells Fargo team moves to Raymond James
Jun 26, 2017
The fiduciary rule for retirement advice faces an uncertain future
Jun 26, 2017
Morgan Stanley loses three Michigan reps to Ameriprise
Jun 26, 2017
Military benefit allows widows to put $500K into Roth IRA at once
Jun 26, 2017
Supreme Court to consider role of Dodd-Frank provision in corporate whistle-blower case
Jun 26, 2017
LPL provides clarity on rule preventing hybrid RIAs from making 401(k) rollover recommendations as a broker
Jun 26, 2017
Adviser's Consultant: Hammering out succession plans that work for everyone
Jun 25, 2017
Nick Schorsch's presence at Brian Block's trial unseen, but keenly felt
Jun 25, 2017
How millennial advisers can foster the entrepreneur within
Jun 24, 2017
CFP Board proposal another signal fiduciary is the future
Jun 24, 2017
Wirehouse training programs are back
Jun 23, 2017
Top vacation destinations for the world's wealthiest
Jun 23, 2017
Finra awards $440,000 in case against Ameriprise
Jun 23, 2017
SEC budget request could make it harder for agency to increase adviser examinations
Jun 23, 2017
Jeffrey Gundlach not impressed with robo advisers
Jun 23, 2017
Fed nudges savings rates higher
Jun 23, 2017
Brian Block's $4 million bonus was tied to a key metric at ARCP
Jun 23, 2017
More than a third of investors question accuracy of performance reports
Jun 23, 2017
Planning Roth conversions during tax reform uncertainty
Jun 23, 2017
New military pension rules need financial advisers to step up and serve
Jun 22, 2017
Investors are sticking with dividend ETFs despite the Fed's moves
Jun 22, 2017
Voya's win in 401(k) fee suit involving Financial Engines bodes well for other record keepers
Jun 22, 2017
Finra fines Wells Fargo $3.25 million for options trade reporting violations
Jun 22, 2017
DOL rule poses problems for advisers' daily routines
Jun 22, 2017
Morgan Stanley adviser managing $165 million moves to Raymond James
Jun 22, 2017
Edward Jones is winning the Google search war
Jun 22, 2017
This generation has the most impressive savings habits, survey says
Jun 22, 2017
SEC Chairman Jay Clayton says agency initiatives would help investors research advisers' backgrounds
Jun 22, 2017
LPL losing tech guru Victor Fetter
Jun 21, 2017
Stocks of active managers outperform
Jun 21, 2017
Interns will take on several roles at advisory firms this summer
Jun 21, 2017
FTJ FundChoice introduces a robo alternative
Jun 21, 2017
5 takeaways from women leaders in the industry
Jun 21, 2017
Brian Block's lawyer portrays prosecution witness as a liar
Jun 21, 2017
Lincoln Financial loses $150 million team to Raymond James
Jun 21, 2017
Mark Goldberg exits W.P. Carey for Griffin Capital
Jun 21, 2017
Finra engages in rulemaking by enforcement: financial industry groups
Jun 21, 2017
Market forces could cause fundamental changes to small and midsize 401(k) markets
Jun 21, 2017
HBW Partners will wind down 55-person B-D and join Cetera
Jun 21, 2017
Some ETFs to add China A shares — eventually
Jun 21, 2017
3 big ideas from the brightest minds in behavioral economics
Jun 21, 2017
Collective investment trusts getting more attention from 401(k) advisers
Jun 21, 2017
Time for Finra to pull back the curtain on its oversight and board
Jun 21, 2017
The First Steps:
Jun 20, 2017
CFPs, including brokers, may have to adhere to a stricter fiduciary duty
Jun 20, 2017
Vanguard rides robo-advice wave to $65B in assets
Jun 20, 2017
Don't mess with Social Security disability rules
Jun 20, 2017
Putnam, Fidelity win respective 401(k) lawsuits
Jun 20, 2017
Paul Ryan reiterates goal to kill estate tax, maintain retirement-savings incentives
Jun 20, 2017
Most advisers could be doing a lot more with tech
Jun 20, 2017
CFP Board's proposal to expand fiduciary duty draws praise, carries risks
Jun 20, 2017
Second-half outlook: Not as bad as you might think
Jun 20, 2017
Brian Block trial witness says Nicholas Schorsch had hand in cooking the books at ARCP
Jun 20, 2017
Thinking about M&A? Keep these three issues in mind
Jun 20, 2017
Reforming compensation practices in the retail alternatives space
Jun 20, 2017
The case for a single fiduciary standard based on the Investment Advisers Act of 1940
Jun 19, 2017
Grad students could fund IRAs with stipends under Senate bill
Jun 19, 2017
Merrill Lynch duo managing $500 million depart for Raymond James
Jun 19, 2017
The crisis of creation in an advisory practice
Jun 17, 2017
ARCP's accounting takes center stage at Brian Block's fraud trial
Jun 17, 2017
Assessing the future of the financial advice industry
Jun 16, 2017
Defense hits key government witness in Brian Block fraud trial
Jun 16, 2017
Advisers need to get on board with the digital revolution
Jun 16, 2017
Chicago-based DiMeo Schneider buys Orion Investment Advisors
Jun 16, 2017
W.P. Carey exiting the nontraded REIT business
Jun 16, 2017
Hester Peirce likely to be nominated by Trump to SEC
Jun 16, 2017
Whole Foods-Amazon deal — which funds have the biggest stakes in the merger
Jun 16, 2017
New Nevada law imposes fiduciary duty on brokers
Jun 16, 2017
New York Life's MainStay lays off defined-contribution wholesalers amid challenging market
Jun 15, 2017
Pershing to roll out a no-transaction-fee ETF platform
Jun 15, 2017
Former Treasury Secretary Jack Lew: DOL fiduciary rule has 'important purpose'
Jun 15, 2017
Ameriprise loses $275 million team to LPL hybrid unit
Jun 15, 2017
Orion adds bond-rating updates to portfolio system
Jun 15, 2017
Should your 401(k) fund be packed with tech stocks?
Jun 15, 2017
Accounting at ARCP center of fraud charges against Brian Block
Jun 15, 2017
Why summer Fridays are on an upswing
Jun 15, 2017
Capital Group, the sponsor of American Funds, sued for self-dealing in its 401(k) plan
Jun 15, 2017
The latest in financial adviser #FinTech
Jun 15, 2017
NASAA finds 90% of B-Ds have team or process to address senior-fraud issues
Jun 15, 2017
Why portfolios are not one-size-fits-all
Jun 14, 2017
Trial begins for former CFO of ARCP, Brian Block
Jun 14, 2017
Think it's hard to start a new fund? Try marketing it
Jun 14, 2017
Tips to help you make sure you're really saving enough for retirement
Jun 14, 2017
Driving clarity on Finra's rules on outside business activities
Jun 14, 2017
DOL fiduciary rule: When advisers actively seek to use BICE
Jun 14, 2017
Treasury calls on financial regulators to coordinate cybersecurity oversight
Jun 14, 2017
Retiree health care costs rising faster than Social Security benefits
Jun 14, 2017
Prepare clients for the high costs of college
Jun 13, 2017
$470M retirement-focused RIA joins LPL
Jun 13, 2017
Advisers give more service without getting more fees: Schwab survey
Jun 13, 2017
State insurance regulators look to DOL fiduciary rule as they mull changes to annuity sales standard
Jun 13, 2017
Trump administration wants to rewrite Dodd-Frank regulations
Jun 13, 2017
What should really happen at client meetings. Hint: It's not discussing investments.
Jun 13, 2017
Mercer Advisors names Dave Welling CEO
Jun 13, 2017
Morgan Stanley to let financial advisers text clients
Jun 13, 2017
American politics is No. 1 'hot topic' with clients: survey
Jun 13, 2017
5 benefits of transitioning to independence
Jun 13, 2017
The little-known alternative to multiple employer plans gaining popularity with advisory firms
Jun 12, 2017
Finra CEO Robert Cook promises to give brokerages more guidance on overseeing rogue brokers
Jun 12, 2017
Vanguard founder John Bogle still prefers U.S. stocks
Jun 12, 2017
Merrill Lynch to settle 401(k) lawsuit for $25 million
Jun 12, 2017
Fidelity launches funds that can make RMDs for aging baby boomers
Jun 12, 2017
Northrop Grumman settles fiduciary breach lawsuit with DC plan participants
Jun 12, 2017
Woodbury broker barred after recommending an unauthorized product
Jun 12, 2017
Finra charges former Morgan Stanley broker with misleading client about account size
Jun 12, 2017
Advisers wary of bitcoin vindicated after big drop
Jun 12, 2017
Making the Break:
Jun 11, 2017
How much life and disability is enough?
Jun 10, 2017
Finra CEO Robert Cook keeps low profile — for now
Jun 10, 2017
Time is now to prepare clients for a stock market correction
Jun 09, 2017
DOL fiduciary rule takes effect, but more uncertainty lies ahead
Jun 09, 2017
Your Social Security benefits could increase in 2018
Jun 09, 2017
4 ways RIAs can protect themselves from cyberthieves
Jun 09, 2017
SEC bars former Ameritas adviser after fraud trial finds him guilty
Jun 09, 2017
Morgan Stanley loses $628 million team to Merrill Lynch
Jun 09, 2017
As DOL fiduciary rule takes effect, B-Ds focus on compliance
Jun 09, 2017
Contrarian alert: ETF investors crowd into tech, flee consumer defensive sector
Jun 09, 2017
RIAs tout their fiduciary status to clients as DOL rule implementation begins
Jun 09, 2017
4 ways to reduce RMD taxes
Jun 09, 2017
Houston-area RIA pleads guilty to $1.9 million mail fraud
Jun 09, 2017
DOL fiduciary: The battle is just beginning
Jun 09, 2017
Smart Beta: More than Just an Investing Fad
Jun 08, 2017
How the future of your retirement savings hinges on the fate of the fiduciary rule
Jun 08, 2017
House passes bill that would kill DOL fiduciary rule
Jun 08, 2017
Stepping out of the defined contribution 'echo chamber'
Jun 08, 2017
In the future, advisers will be at customers' beck and call
Jun 08, 2017
The disclosure 401(k) advisers may be missing under the DOL fiduciary rule come June 9
Jun 08, 2017
Adviser's Consultant: Incorporating clients' risk scores into all planning decisions
Jun 08, 2017
Ex-Morgan Stanley rep investigated for trading abuses barred by Finra
Jun 08, 2017
Where retirement advisers should focus their preparations for the DOL fiduciary rule
Jun 08, 2017
DOL fiduciary rule: What's wrong with the financial advice industry?
Jun 07, 2017
Rep barred for not disclosing $100 million in private transactions: Finra
Jun 07, 2017
Reasons why American teenagers are working less
Jun 07, 2017
Finra fines former Sterne Agee rep for VA violations
Jun 07, 2017
Cetera adding facial recognition software to help gauge clients' emotions
Jun 07, 2017
Bill Gross: US markets at highest risk levels since before financial crisis
Jun 07, 2017
Labor Secretary Acosta: Concerns with DOL fiduciary rule 'not heard' during original rulemaking
Jun 07, 2017
Infrastructure funds building gains
Jun 07, 2017
Investment Adviser Association members take complaints about DOL fiduciary rule to Capitol Hill
Jun 07, 2017
Lebenthal CEO and brother step down
Jun 07, 2017
DOL fiduciary rule: Edward Jones changing stance on mutual fund commissions in IRAs
Jun 06, 2017
Billion-dollar Goldman Sachs adviser team moves to Dynasty
Jun 06, 2017
TIAA launches robo-adviser with access to SRI funds
Jun 06, 2017
How much you need to earn to comfortably afford both college and life
Jun 06, 2017
Commodity funds a tough sell, while managed futures hold out some hope
Jun 06, 2017
Ameriprise slashes number of funds available to advisers ahead of DOL fiduciary rule
Jun 06, 2017
5 robo-advisers with the most client assets
Jun 05, 2017
Investors do better with low-cost funds: Morningstar
Jun 05, 2017
Are we calculating investor underperformance in the right way?
Jun 05, 2017
Supreme Court curbs SEC's power to recoup illegal profits
Jun 05, 2017
Social Security cost-of-living adjustment predicted for 2018
Jun 05, 2017
Head of CFA Institute says financial professionals face 'existential' challenge
Jun 05, 2017
SEC charges Alpine Securities with failure to file suspicious activity reports
Jun 03, 2017
RIA firms ride consolidation wave
Jun 03, 2017
DOL fiduciary rule should be improved, not scrapped
Jun 03, 2017
RIA Rundown: By the Numbers
Jun 02, 2017
SEC reasserts itself on investment-advice standards, but it's not clear whether it will overtake DOL fiduciary rule
Jun 02, 2017
Morgan Stanley overhauls senior leadership in its wealth management unit
Jun 02, 2017
Financial advisers do whatever it takes to avoid talking politics with clients
Jun 02, 2017
UBS latest to shift broker compensation ahead of DOL fiduciary rule
Jun 01, 2017
Thoughtful graduation gifts that pay for themselves
Jun 01, 2017
Are brokers really ready to be fiduciaries?
Jun 01, 2017
US homes are finally getting smaller
Jun 01, 2017
Why the US is addicted to using Social Security numbers
Jun 01, 2017
401(k) record keepers making big bets on managed accounts
Jun 01, 2017
Stifel, UBS lose advisers to Wells Fargo's independent unit
Jun 01, 2017
Withdrawal from Paris accord will spur interest in ESG, advisers say
Jun 01, 2017
LPL tweaks pricing of investment products in preparation for DOL fiduciary rule
Jun 01, 2017
Finra censures and fines Sterne Agee for failing to supervise former CEO
Jun 01, 2017
Former Morgan Stanley rep barred by Finra for concealing Venezuelan bond trades
Jun 01, 2017
Layoffs, reorganization for First Capital
Jun 01, 2017
SEC solicits comment on conduct standards for advisers and brokers
Jun 01, 2017
As fiduciary debate slogs on, both sides will be dragged through the mud
Jun 01, 2017
Are derivatives hiding risk in your bond portfolio?
Jun 01, 2017
Is Now the Right Time for Practice Acquisition?
Jun 01, 2017
Why invest in emerging markets?
Jun 01, 2017
How to Jump-Start the Succession Planning Process
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