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Site Map for October 2017
Date
Title
Oct 31, 2017
Fintech firms to use dark web to improve cybersecurity for advisers
Oct 31, 2017
Trump administration seeks to give boost to 401(k) annuities
Oct 31, 2017
Ex-Merrill broker Thomas J. Buck pleads guilty to securities fraud, will pay SEC $5M
Oct 31, 2017
Morgan Stanley is waving the white flag on recruiting
Oct 31, 2017
Morgan Stanley loses $210 million team to Baird
Oct 31, 2017
Retirement-savings advocates to mobilize forces if tax-reform plan cuts benefits
Oct 31, 2017
Did Morgan Stanley just kill the broker protocol agreement?
Oct 31, 2017
7 questions to test your mastery of advice firm pay practices
Oct 30, 2017
George Papadopoulos, financial planner, confused with key figure in Trump probe on social media
Oct 30, 2017
SEC penalizes UBS $3.5 million for overcharging on funds
Oct 30, 2017
Stifel to acquire $4.8 billion Ziegler Wealth Management
Oct 30, 2017
History of presidential shocks to the stock market
Oct 30, 2017
Morgan Stanley loses $150 million team in Utah
Oct 30, 2017
Ted Benna, father of the 401(k), thinks tax reform that favors Roths is 'pretty stupid'
Oct 30, 2017
Morgan Stanley dumps broker recruiting protocol
Oct 30, 2017
Ameriprise loses $100 million broker to Raymond James
Oct 30, 2017
Bond allocations: Be real, patient and flexible
Oct 30, 2017
Prepare clients for the terror of falling markets
Oct 30, 2017
Beware of so-called 'liquid' alts for retail investors
Oct 30, 2017
New Jersey smacks LPL with fine of nearly $1M over REIT, BDC sales
Oct 28, 2017
8 top tax and estate-planning tips
Oct 28, 2017
Maximizing the tax benefits of mortgage interest, home equity loans
Oct 28, 2017
It's time to speak up about sexual harassment in the workplace
Oct 27, 2017
Tax plan secrecy evokes frenzy of concern from lobbyists and lawmakers
Oct 27, 2017
Tax plan secrecy evokes frenzy of concern from lobbyists and lawmakers
Oct 27, 2017
Finra bars former LPL broker over no-show at hearing
Oct 27, 2017
Timber ETFs get bump from natural disasters
Oct 27, 2017
UBS scales back recruitment loans, boosts profits
Oct 27, 2017
Taking the Medi-scare out of retiree health-care costs
Oct 27, 2017
LPL to pay $295,000 for Ponzi scheme probe in North Carolina
Oct 27, 2017
UBS ordered to pay $3 million Finra fine for defamation
Oct 27, 2017
Treasury encourages DOL to consider fiduciary-rule harm
Oct 27, 2017
Clients facing late-career job loss can tap 401(k)s early
Oct 27, 2017
Watchdog group sues DOL to see records for fiduciary rule rewrite
Oct 27, 2017
Private placement life insurance: A primer
Oct 26, 2017
Advisers: Morningstar's star ratings not much use, but clients love them
Oct 26, 2017
Finra regulation chief Susan Axelrod to leave
Oct 26, 2017
ETF issuers have new competitor for USAA's $5.5 billion investment: USAA itself
Oct 26, 2017
SEC task force targets retail investor fraud at the adviser level
Oct 26, 2017
RMB Capital to acquire Jacobus Wealth Management
Oct 26, 2017
Coordinate couples' income needs ahead of time
Oct 26, 2017
Blaming the DOL fiduciary rule, LPL sees recruiting stall for second straight quarter
Oct 26, 2017
Raymond James adds 200 advisers in fiscal 2017
Oct 26, 2017
Are Morningstar's ratings a good guide to mutual funds?
Oct 26, 2017
Finra awards 13 clients $5 million against rogue broker
Oct 26, 2017
SEC and DOL should agree on tough fiduciary rules
Oct 25, 2017
Don't fall for myths about women investors
Oct 25, 2017
Ameriprise attracts 88 advisers in third quarter
Oct 25, 2017
Wedbush Securities, once again, in trouble with regulators
Oct 25, 2017
These fund categories are lagging in the bull run
Oct 25, 2017
Advisers can harvest a surprising amount of tax losses for clients this year
Oct 25, 2017
Indie team managing $172 million leaves Mid Atlantic Capital
Oct 25, 2017
Trump, House tax chief send mixed signals on 401(k) tax break
Oct 25, 2017
Mitigating conflicts of interest in compensation
Oct 25, 2017
Private equity firm Thomas H. Lee Partners buys stake in HighTower
Oct 25, 2017
Senate's takedown of the CFPB's class-action rule may pave way for challenge to Finra policy
Oct 25, 2017
InvestmentNews honors firm best practices
Oct 24, 2017
Use of auto enrollment leaps, survey finds
Oct 24, 2017
SEC nominees Jackson and Peirce blast Finra's transparency during hearing
Oct 24, 2017
Yale-Columbia study finds women investment pros face discrimination ​
Oct 24, 2017
BlackRock wants ETF rule to help competition
Oct 24, 2017
Clayton says SEC can't simply take over DOL fiduciary rule
Oct 24, 2017
Do advisory boards create perceived conflicts for DC plan advisers?
Oct 24, 2017
401(k) advisers under pressure to keep up with due diligence of investment products
Oct 24, 2017
Don't forget secondary market for life insurance
Oct 23, 2017
After a second employee leaves over sexual harassment, Fidelity holds emergency meeting
Oct 23, 2017
PIABA selects Andrew Stoltmann as new president
Oct 23, 2017
Trump rejects idea of new caps on 401(k) savings in tax plan
Oct 23, 2017
Merrill Lynch fined $45.5 million for failing to report trades
Oct 23, 2017
TIAA may be pushing unsuitable products, whistleblowers say
Oct 23, 2017
Finra's fine money whets appetites of investor advocates, experts, industry representatives
Oct 23, 2017
Six-rep team managing $369 million at Wells Fargo joins Ameriprise
Oct 23, 2017
Hearsay acquires Mast Mobile
Oct 23, 2017
How to take the Medi-scare out of retiree healthcare costs
Oct 23, 2017
LPL watching $100 million in NPH production move to rivals, executives say
Oct 23, 2017
Xerox wins lawsuit alleging 'kickback' scheme with Financial Engines
Oct 23, 2017
TD Ameritrade triples time before it charges fees on popular ETFs
Oct 23, 2017
Chasing income vs. consistent income
Oct 23, 2017
The next frontier of advice
Oct 21, 2017
T. Rowe Price steps up its game to serve financial advisers
Oct 21, 2017
Rushed tax reform would cause more harm than a delay
Oct 21, 2017
T. Rowe Price's Rob Sharps talks about investing for growth
Oct 20, 2017
Clients worried about a stock market crash? Comfort them with cash
Oct 20, 2017
SEC charges adviser with stealing $9 million intended for charity
Oct 20, 2017
Advisor Group rolls out succession planning offer
Oct 20, 2017
E*Trade gains a foothold in the RIA space, but it is going up against bigger competitors
Oct 20, 2017
Wealthy families are winning deals away from private equity
Oct 19, 2017
Why are investors still flocking to bonds?
Oct 19, 2017
LPL retains $570 million with super-OSJ deal
Oct 19, 2017
State Street cuts fees, renames 15 ETFs
Oct 19, 2017
LPL loses $1.3 billion super OSJ to Securities America
Oct 19, 2017
Finra rule would let investors take arb claims to court if broker goes bankrupt during proceeding
Oct 19, 2017
IRS raises 2018 contribution limit for qualified plans to $18,500
Oct 19, 2017
Another thousand Dow points higher, and investors yawn
Oct 19, 2017
5 things you should be doing on social media
Oct 19, 2017
Pre-retirement earnings can limit Social Security survivor benefits
Oct 19, 2017
E*Trade acquiring custodian Trust Company of America
Oct 19, 2017
Shift to Roth 401(k)s 'highly likely' part of tax reform: former Treasury official Mark Iwry
Oct 19, 2017
Massachusetts charges adviser with venture-capital fraud
Oct 19, 2017
Finding common ground with clients from different ethnic groups
Oct 19, 2017
Good luck picking the "best" insurance product
Oct 19, 2017
Top 5 ways comprehensive technology boosts client engagement
Oct 19, 2017
LPL retains $2 billion firm affiliated with NPC
Oct 19, 2017
A New Approach: Wealth Management Redefined
Oct 19, 2017
The Philosophy of Goal-based Investment Planning
Oct 18, 2017
EquBot launching first ever ETF to use artificial intelligence
Oct 18, 2017
Private equity eyes advisory firms, but at what cost?
Oct 18, 2017
GAO report says American retirement system not providing adequate security
Oct 18, 2017
Let hard data, not gut instinct, define your ideal client profile
Oct 18, 2017
Trump-inspired funds bring political twist to ETF market
Oct 18, 2017
SunTrust group managing $540 million moves to Raymond James
Oct 18, 2017
Why are investors still flocking to bonds?
Oct 18, 2017
How does your advisory firm stack up?
Oct 17, 2017
IMCA rebrands to attract broader audience
Oct 17, 2017
InvestmentNews names winners of its 2017 Best Practices Awards
Oct 17, 2017
Wisconsin advisory firm leaves broker-dealer NPC for Woodbury Financial Services
Oct 17, 2017
Private-equity giants start targeting wealthy advisory clients
Oct 17, 2017
Morgan Stanley sees slower fee-based asset flows on fiduciary rule delay
Oct 17, 2017
Brokers support Finra ranking of reps to identify bad apples as long as list stays private
Oct 17, 2017
Slowing revenue growth in advice business will impact career development
Oct 16, 2017
TD Ameritrade to bolster lineup of commission-free ETFs
Oct 16, 2017
Finra orders Wells Fargo to pay $3.4 million over risky ETFs and ETNs
Oct 16, 2017
State Street cuts fees, renames 15 ETFs
Oct 16, 2017
Hedging stock risk can hedge your business, too
Oct 16, 2017
$1.3 billion advisory firm leaves NPC for Commonwealth
Oct 16, 2017
Charles Schwab runs TV ads to promote independent, fiduciary advice model
Oct 16, 2017
Finra ranking brokers in effort to crack down on industry's bad apples
Oct 16, 2017
How adviser salaries stack up to other jobs
Oct 16, 2017
Fill the Gaps of Special Needs Financial Planning
Oct 16, 2017
Retirement Planning is Possible While Caring for a Child with Autism
Oct 16, 2017
Building blocks of special needs financial planning
Oct 14, 2017
Employee retention linked to career paths and training
Oct 14, 2017
Advice firms need to invest in training and staff development
Oct 14, 2017
Advice industry in hiring mode
Oct 14, 2017
Advice firms in a tricky financial position
Oct 13, 2017
In a turnaround, Wells Fargo Advisors sees slight bump in headcount
Oct 13, 2017
Retirement planning challenges under tax reform
Oct 13, 2017
Tax reform threatens a powerful client relationship tool
Oct 13, 2017
CFP Board publicly rebukes Camardas over use of 'fee-only' description
Oct 13, 2017
Lawsuit filed against first state auto-IRA program
Oct 13, 2017
Trump nominates Senate aide for post overseeing DOL fiduciary rule
Oct 13, 2017
IRS alerts tax pros to insurance form scam
Oct 13, 2017
Social Security benefits to increase by 2% in 2018
Oct 12, 2017
DOL fiduciary rule, along with two other regs, could be a boon for ETFs
Oct 12, 2017
Funding options for long-term care
Oct 12, 2017
Prudential wins appeal of 401(k) fee lawsuit
Oct 12, 2017
Morgan Stanley loses two reps to Wells Fargo
Oct 12, 2017
GOP tax battle looms over wealthy Americans
Oct 12, 2017
Trump reconsiders plan to eliminate deduction for state, local taxes
Oct 12, 2017
Report details rampant elder financial abuse
Oct 12, 2017
New York-area bank chooses Cetera for clearing
Oct 12, 2017
Tiedemann to acquire $3.4 billion Threshold, which has an interest in impact investing
Oct 12, 2017
House panel approves legislation to kill DOL fiduciary rule, and 2 other adviser-related bills
Oct 12, 2017
Trump moves to undermine Obamacare
Oct 12, 2017
Why your portfolio may have too much equity risk (Hint: It's your bonds)
Oct 12, 2017
Financial therapy 'money scripts' can help you beat the robots
Oct 12, 2017
Sisters managing $141 million leave Raymond James for Ameriprise
Oct 12, 2017
Finra wants to help the small broker-dealer: Cook
Oct 12, 2017
DOL fiduciary rule delay boosts prospects for annuity sales
Oct 11, 2017
Brace yourself for more SEC exams
Oct 11, 2017
Raymond James lands $5B custody and clearing client
Oct 11, 2017
Newbridge Securities to be bought by foreign wealth management firm
Oct 11, 2017
Finra orders Morgan Stanley to return $200,000 in variable annuity sale
Oct 11, 2017
Trump may tout $4,000 worker benefit in tax pitch
Oct 11, 2017
Smart-beta ETFs take in billions in new assets
Oct 11, 2017
Finra bars former broker over unauthorized use of discretion
Oct 11, 2017
Preston Rutledge, senior aide on Senate Finance Committee, could be filling Phyllis Borzi's old post at DOL
Oct 11, 2017
401(k) referrals rare from wealth managers despite DOL fiduciary rule
Oct 11, 2017
What can Tabasco sauce teach advisers about 401(k) loans?
Oct 10, 2017
Oranj launches 'free' financial platform as way to lower client costs
Oct 10, 2017
Trump vows to make changes to tax plan
Oct 10, 2017
Thank Richard Thaler for that bigger nest egg
Oct 10, 2017
Finra flags two ex-Ameriprise reps over margin snafus
Oct 10, 2017
GOP tax battle looms over advisers and their clients
Oct 10, 2017
Giving to charity, the millennial way
Oct 10, 2017
Finra's Focus on UITs
Oct 10, 2017
Finra cracks down on faulty variable annuity exchanges
Oct 10, 2017
Searing lessons from the crash of 1987
Oct 09, 2017
Behavioral finance scholar Richard Thaler wins Nobel Prize in economics
Oct 09, 2017
Momentum is on a roll. But will it last?
Oct 09, 2017
How to pay for long-term care? Several funding options exist
Oct 09, 2017
It's time for the life insurance industry to ditch illustration comparisons
Oct 09, 2017
Medicare rules are needlessly complex
Oct 09, 2017
If a GPS app can fail, so can fintech
Oct 09, 2017
A primer on stable value funds for retirement plan advisers
Oct 07, 2017
Data breaches ratchet up risks for financial advisory firms
Oct 07, 2017
Dan Arnold's big gamble at LPL Financial
Oct 06, 2017
SIFMA: State-level fiduciary rules would confuse investors
Oct 06, 2017
Pimco and Goldman lead push for bond ETF flexibility
Oct 06, 2017
Pew survey finds support for state auto-IRA programs
Oct 06, 2017
Creation of new interval funds outpacing that of nontraded REITs
Oct 06, 2017
Look for big improvement in funds' 10-year record
Oct 06, 2017
Finra CEO: Regulator will consider more transparency
Oct 06, 2017
Finra denies WSJ report that regulator has underperforming portfolio
Oct 06, 2017
How We're Investing in the Search for a Cancer Cure
Oct 05, 2017
Stay up on Medicare enrollment with annual reviews
Oct 05, 2017
Trump tax plan draws concerns of GOP budget hawks
Oct 05, 2017
Storms Seen Cutting U.S. Hiring in Half Before Jobs Rebound
Oct 05, 2017
Both spouses don't always need to delay Social Security until 70
Oct 05, 2017
SEC approves Finra rule to streamline securities exams
Oct 05, 2017
Painful end for advisers who bought RCAP shares
Oct 05, 2017
Trump administration scrapping estate-tax rule affecting wealthy business owners
Oct 05, 2017
Redtail launches compliant texting platform
Oct 05, 2017
To see the future of wealth planning, look to your car
Oct 05, 2017
Consumer Federation of America claims brokerage firms may be violating DOL fiduciary rule
Oct 05, 2017
HighTower snags $500M JPMorgan rep
Oct 05, 2017
How investors can leverage tax alpha to increase returns and savings
Oct 05, 2017
Riskalyze aims down market with retirement solutions platform
Oct 04, 2017
Trump budget chief says no U.S. bailout for Puerto Rican debt
Oct 04, 2017
SEC charges California RIA and its owner with account statement fraud
Oct 04, 2017
Judge dismisses lawsuit against Fidelity alleging fault in Delta 401(k)
Oct 04, 2017
Taking the plunge and becoming an RIA
Oct 04, 2017
DOL fiduciary rule ups ante for monitoring of 401(k) record keepers
Oct 04, 2017
SEC chief Jay Clayton tells lawmakers agency is drafting its own fiduciary duty rule
Oct 03, 2017
Trump tax plan draws concerns of GOP budget hawks
Oct 03, 2017
Judge overturns SEC sanctions on adviser
Oct 03, 2017
The latest in financial adviser #FinTech
Oct 03, 2017
Borg puts cybersecurity, unpaid arbitration claims on NASAA agenda
Oct 03, 2017
Take 5: Tom Giachetti brings humor, insight to regulatory guidance
Oct 03, 2017
Durbin gets promoted again, this time to lead Fidelity Institutional
Oct 03, 2017
Michael Durbin named president of Fidelity Institutional
Oct 03, 2017
Both spouses don't always need to delay Social Security until 70
Oct 03, 2017
Long-time FiNet executive buys stake in $800 million firm
Oct 03, 2017
The importance of managing clients' 'life risks'
Oct 03, 2017
Navigating the planning gap
Oct 02, 2017
Finra considers remote branch inspections, more BrokerCheck info
Oct 02, 2017
Broker-dealer charged fraudulent markups of up to 270% on water disposal deals: Finra
Oct 02, 2017
Bank of America names new head of US Trust
Oct 02, 2017
Ex-broker ordered to pay $550K for bilking investors with modest incomes
Oct 02, 2017
What you need to know about energy MLPs
Oct 02, 2017
SEC reveals further damage from Edgar hack
Oct 02, 2017
The trials of converting to new financial planning software
Oct 02, 2017
When an ultrahigh-net-worth prospect has needs beyond your expertise
Oct 02, 2017
Stay up on Medicare enrollment with annual reviews
Oct 02, 2017
The Dating Game: How to Find a Continuity Partner
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