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Site Map for July 2017
Date
Title
Jul 31, 2017
LPL Financial benefits from flight of Wells Fargo advisers
Jul 31, 2017
Bannon proposal to raise top tax rate dismissed by White House official
Jul 31, 2017
Number of experienced defined-contribution plan advisers to grow with DOL fiduciary rule
Jul 31, 2017
HighTower's president resigns
Jul 31, 2017
SEC charges four former reps with fraud for VA sales targeting federal employees
Jul 31, 2017
LPL's Dan Arnold: 'Uberization' is coming to advisers' offices
Jul 31, 2017
Fidelity Investments fires another salvo in the fee wars
Jul 31, 2017
Stifel CEO raises doubts about future of DOL rule
Jul 31, 2017
DOL fiduciary rule already proving to be harmful and onerous
Jul 31, 2017
Why RIAs are the future of financial advising
Jul 28, 2017
Government to wind down Obama-era retirement savings program
Jul 28, 2017
Americans' savings rate sinks to lowest level in 9 years
Jul 28, 2017
U.S. plummets on global ranking for retirement security
Jul 28, 2017
Former Aegis Capital broker barred for skipping hearing
Jul 28, 2017
Raymond James looks to replicate recruiting success on West Coast
Jul 28, 2017
Massachusetts regulator blasts SEC's Piwowar over fiduciary rule
Jul 28, 2017
Vanguard targeting overseas market with active funds
Jul 28, 2017
Most women flunk retirement income literacy quiz
Jul 28, 2017
Treasury Department to wind down Obama-era myRA retirement program
Jul 28, 2017
LPL's head count drops by almost 100 advisers in 2Q
Jul 28, 2017
Advisers: What about your retirement?
Jul 27, 2017
Hanson McClain sells majority interest to private equity firm
Jul 27, 2017
Filling in the protection gap for high-income earning physicians
Jul 27, 2017
Merrill Lynch loses two teams managing $500 million to Raymond James
Jul 27, 2017
Bannon plan to raise taxes on highest earners may find GOP support
Jul 27, 2017
On Social Security, financial advisers tell clients to not count on much
Jul 27, 2017
More advisers disapprove of Trump job performance at six-month mark
Jul 27, 2017
Fidelity taps Goldman Sachs to expand lending services through RIAs
Jul 27, 2017
Most women flunk retirement income literacy quiz
Jul 27, 2017
Cetera loses bank brokers managing $750 million ​
Jul 27, 2017
Postponing tax is a lofty goal
Jul 26, 2017
Former Morgan Stanley broker barred over claims of unsuitable trading
Jul 26, 2017
FS Investments promotes Mike Kelly to president
Jul 26, 2017
Jay Clayton says SEC, DOL can give market 'clarity' on fiduciary rule
Jul 26, 2017
New master's degree to teach advisers financial life planning skills
Jul 26, 2017
Finra promotes Susan Schroeder to head unified enforcement effort
Jul 26, 2017
Retirement plan participation higher than previously thought: ICI
Jul 25, 2017
Sen. Gary Peters brings broker background to work every day on Capitol Hill
Jul 25, 2017
Pennsylvania broker hit with $200,000 fine for 'dishonest or unethical practices'
Jul 25, 2017
RBC to pay $560,000 for transferring retiree's pension
Jul 25, 2017
United Capital buys three RIAs, adds $758 million
Jul 25, 2017
Independent broker-dealer Vanderbilt revamps to focus on impact investing
Jul 25, 2017
Vanguard winning at bond inflows, too
Jul 25, 2017
Wells Fargo wants mistakenly sent client data returned
Jul 25, 2017
What would happen if there was a sharp rise in interest rates?
Jul 25, 2017
How the investor is lost in the active versus passive debate
Jul 24, 2017
Betterment funding values firm at $800 million
Jul 24, 2017
Near-record pace of M&A continues for RIA firms
Jul 24, 2017
Take 5: Vanguard's new CIO Greg Davis talks bonds, stocks and costs
Jul 24, 2017
DOL fiduciary rule opponents want to push implementation back until 2019
Jul 24, 2017
Morningstar: Advisers are overreacting to fund manager changes
Jul 24, 2017
DOL fiduciary rule causing DC-plan record keepers to change business with insurance agents
Jul 23, 2017
Executive women aren't getting advice they need
Jul 22, 2017
Retirement planning for women
Jul 22, 2017
Understanding algorithms is key to gauging robo fiduciary status
Jul 21, 2017
Social Security Underfunding Threatens Americans' Retirement
Jul 21, 2017
Employers Reducing Contributions to Retirement Benefits: Study
Jul 21, 2017
Missing from Retirement Income Planning: A Plan
Jul 21, 2017
Sean Spicer resigns as press secretary after Anthony Scaramucci is appointed communications director
Jul 21, 2017
Don't forget: Comment period for CFP Board's new standards ends Aug. 21
Jul 21, 2017
Tech companies deploy behavioral finance tools for advisers
Jul 21, 2017
Having reached the summit, can Vanguard maintain its perch?
Jul 20, 2017
Central banks must use caution in further tightening, Gross says
Jul 20, 2017
How to fix Social Security
Jul 20, 2017
One Inheritance You May — Or May Not — Want To Receive
Jul 20, 2017
GMO: Don't overlook risk in emerging markets
Jul 20, 2017
Fifteen advisers, six firms named finalists by charitable foundation
Jul 20, 2017
DOL regulation translates into pay cut for some advisers
Jul 20, 2017
Merrill Lynch trio managing $463 million joins Ameriprise
Jul 20, 2017
Time to remind clients about taxes
Jul 20, 2017
SEC fines KMS Financial Services $100,000 for conflicts of interest
Jul 20, 2017
Wells Fargo team managing $351 million in Gainesville, Georgia, goes independent
Jul 20, 2017
Pennsylvania slams midsize broker-dealer with $500,000 fine
Jul 19, 2017
Fleeing hedge funds, wealthy investors take shelter in real estate
Jul 19, 2017
Robos are offering SRI, so shouldn't live advisers?
Jul 19, 2017
Focus Financial adds $2.3 billion Texas RIA
Jul 19, 2017
U.S. falls further in retirement security ranking among developed countries
Jul 19, 2017
Morgan Stanley says recruiting and attrition have slowed down
Jul 19, 2017
Despite efforts to change image, Wall Street fails to regain trust of Americans
Jul 19, 2017
Shundrawn Thomas to succeed Stephen Potter as president of Northern Trust AM
Jul 19, 2017
Redoing the math on a 4% retirement withdrawal rate
Jul 19, 2017
Finra seeks to raise pressure on firms hiring rogue brokers, avoiding arbitration payments
Jul 19, 2017
House panel passes bill to replace DOL fiduciary rule with one requiring disclosure of conflicts
Jul 19, 2017
Improving the efficiency of wealth transfers
Jul 19, 2017
Shifting DCIO distribution offers opportunity for 401(k) advisers
Jul 19, 2017
How to Invest for the Rest of 2017: Our Mid-Year 2017 Outlook
Jul 18, 2017
Finra bars broker who lost job after felony indictment
Jul 18, 2017
Bank of America's Moynihan: No quick pullback from fiduciary rule
Jul 18, 2017
Are music royalties a new alternative investment?
Jul 18, 2017
Citi International reaps $1.5 million award in raiding case
Jul 18, 2017
American dream sinking into abyss of uncertainty
Jul 18, 2017
Tax incentives would boost small-business retirement plans: LPL study
Jul 18, 2017
DOL fiduciary rule: Transfers of IRAs in the new fiduciary world
Jul 18, 2017
Managed accounts look attractive to 401(k) advisers, but how do you measure performance?
Jul 18, 2017
Get started with Lists: The best part of Twitter you're not using
Jul 18, 2017
Indie BD managing $520 million becomes OSJ
Jul 17, 2017
House committees ready two assaults on DOL fiduciary rule this week
Jul 17, 2017
National Holdings' acquisition of broker-dealer WFG Investments and its 200 advisers called off
Jul 17, 2017
Rehabilitating a besmirched reputation online can cost time and money
Jul 17, 2017
Wells Fargo duo managing $230 million goes independent
Jul 17, 2017
Oaktree Capital to take over two Fifth Street BDCs in $320 million deal
Jul 17, 2017
What we can learn from Amazon's acquisition of Whole Foods
Jul 17, 2017
Advisers bracing for Fed's unprecedented bond sale
Jul 16, 2017
The Holy Grail of Being an Adviser
Jul 14, 2017
Edward Jones fined $750,000 over account aggregation violations
Jul 14, 2017
How Social Security treats the survivors of young workers
Jul 14, 2017
SEC bars adviser to Tim Duncan and obtains judgment
Jul 14, 2017
Kids make same financial mistakes as parents: study
Jul 14, 2017
Activists add tailwinds to closed-end funds
Jul 14, 2017
Wells Fargo sustains more adviser losses following banking scandal
Jul 14, 2017
Best interest is in the eye of the beholder in debate over DOL fiduciary rule
Jul 14, 2017
DFPG Investments acquires RIA managing $220 million
Jul 14, 2017
Median RIA firm had 25% operating margins in 2016: Schwab
Jul 13, 2017
Why Americans can't seem to retire
Jul 13, 2017
Protecting your kids from identity theft
Jul 13, 2017
Men vs. women: Who gets the most out of marriage?
Jul 13, 2017
Broker-dealer managing $1.1 billion joins Signator OSJ
Jul 13, 2017
LPL to roll out new mutual fund platform as DOL fiduciary rule takes effect
Jul 13, 2017
In states slow to recover economically, advisers sometimes have to be the bearers of bad news
Jul 13, 2017
A shares live on, despite some hefty upfront sales charges
Jul 13, 2017
Social Security reserves still expected to be depleted by 2034: annual report
Jul 13, 2017
Vanguard CEO McNabb to step down
Jul 13, 2017
Appointing and monitoring a 401(k) investment manager under ERISA
Jul 13, 2017
Manulife weighs a John Hancock IPO or spin-off
Jul 13, 2017
Democrats diss draft legislation to scrap DOL fiduciary rule, set best-interest advice standard for brokers
Jul 12, 2017
Merrill Lynch brokers managing $1 billion move to UBS
Jul 12, 2017
Former broker gets 30 months for defrauding investors
Jul 12, 2017
Asset management revenue, profits down in 2016 for first time since 2008
Jul 12, 2017
Finra hits State Street with $1.5 million fine for electronic record-keeping violations
Jul 12, 2017
New aggregator takes stake in three RIAs managing $11 billion
Jul 12, 2017
Mercer Advisors acquires $160 million RIA
Jul 12, 2017
Seeking to protect client assets, SEC may have hurt the client
Jul 12, 2017
SEC's Jay Clayton makes fiduciary duty a priority, acknowledges issue is 'complex'
Jul 12, 2017
Promises by Congress to protect retirement-savings incentives don't ease advocates
Jul 12, 2017
How options can play a role in portfolios
Jul 12, 2017
Trump's tax cuts would cost $7.8 trillion and go mostly to wealthy
Jul 11, 2017
Merrill Lynch loses $1 billion Beverly Hills team
Jul 11, 2017
Rep. Wagner drafts bill to kill DOL fiduciary rule, replace it with best-interest standard
Jul 11, 2017
A $200 million Wells Fargo rep forms RIA
Jul 11, 2017
GOP to keep Obamacare taxes on wealthy in latest health-care bill: sources
Jul 11, 2017
American Airlines reaches $22 million settlement in 401(k) self-dealing lawsuit
Jul 11, 2017
With fiduciary rule in place, two broker-dealers cut adviser compensation
Jul 11, 2017
Northeast Securities to pay $1.8 million in Finra arbitration claim
Jul 10, 2017
Tax reform uncertainty grows as congressional calendar shrinks
Jul 10, 2017
ESG investors like gains as much as anyone else
Jul 10, 2017
Fund manager MFS sued for self-dealing in its 401(k) plans
Jul 10, 2017
What 'Moneyball' can teach advisers about better portfolio construction
Jul 10, 2017
How technology will amplify the humanity in financial advice
Jul 10, 2017
How advisers can make referrals their most effective tool for growth
Jul 10, 2017
How Social Security treats the survivors of young workers
Jul 10, 2017
How financial advisers can bridge the digital divide
Jul 08, 2017
Will new smart-beta strategies boost target-date funds' performance?
Jul 08, 2017
Health-insurance reform uncertainty hampers advisers' ability to counsel to clients
Jul 07, 2017
Buffett's $9 billion purchase shines new light on utility sector
Jul 07, 2017
Supreme Court could put pressure on Finra class-action policy
Jul 07, 2017
5 ways to ensure an HSA isn't subject to ERISA
Jul 07, 2017
What advisers have to do when clients lie
Jul 07, 2017
Fidelity: Will Goldilocks market have a happy ending?
Jul 06, 2017
These five states still haven't recovered from the recession
Jul 06, 2017
Advisers envision a disrupted advice industry if Amazon shows up
Jul 06, 2017
Dual income couples complicate Social Security earnings test
Jul 06, 2017
Dual income couples complicate Social Security earnings test
Jul 06, 2017
Health savings accounts becoming the new IRAs
Jul 06, 2017
Gundlach sees more pain for bond bulls as long Treasuries sell off
Jul 06, 2017
Dominated by women, tech-heavy fund is up 36% on the year
Jul 06, 2017
How did the DOL fiduciary rule change the world for 401(k) advisers?
Jul 05, 2017
Rising rates increase the appeal of lump-sum pension payouts
Jul 05, 2017
Growth funds soar in first six months of 2017
Jul 05, 2017
Fidelity, American Century adopting new TDF fee tactic as cost pressures grow
Jul 05, 2017
Who the winners are in the implementation of the DOL fiduciary rule
Jul 05, 2017
Changing the financial advice industry narrative: put the client first
Jul 05, 2017
DOL defends fiduciary rule in brief to appeals court in industry lawsuit
Jul 05, 2017
Why financial advisers need to actively manage their continuity plans
Jul 05, 2017
The big news and trends in adviser #FinTech
Jul 05, 2017
Oregon becomes first state to launch auto-IRA program
Jul 05, 2017
The top 5 mistakes made by 401(k) plan sponsors
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