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Site Map for November 2017
Date
Title
Nov 30, 2017
Former Valic broker Craig Edward Lewis barred for no-show
Nov 30, 2017
New RIA aggregator enters 401(k) market
Nov 30, 2017
Morgan Stanley taps LifeYield to boost tax alpha across client accounts
Nov 30, 2017
States may strengthen rules for selling annuities
Nov 30, 2017
Will robos help direct indexing topple ETFs?
Nov 30, 2017
Texas REIT sues hedge fund boss Kyle Bass
Nov 30, 2017
Wells Fargo team managing $1B in Anchorage, Alaska moves to Baird
Nov 30, 2017
Bitcoin price breaks $10,000. Here's what history tells us comes next.
Nov 30, 2017
LPL retains $1.1B Discovery Financial
Nov 30, 2017
State of the long-term care insurance industry
Nov 30, 2017
Alternative beta raises the bar on hedge funds
Nov 30, 2017
Morningstar-WSJ feud gives CFRA opening to challenge bigger rival's methodology
Nov 30, 2017
Not all smart-beta funds are smart
Nov 30, 2017
Senate tax bill is a hike on retail investors
Nov 30, 2017
Tamarac opens platform to RightCapital
Nov 29, 2017
Have annuity sales bottomed out?
Nov 29, 2017
Bitcoin price breaks $10,000. Here's what history tells us comes next.
Nov 29, 2017
Merrill likely next big firm to dump broker recruiting protocol
Nov 29, 2017
Morningstar: Small-employer retirement plans need legislative fixes
Nov 29, 2017
Fidelity outage sidelines retail customers, but advisers not affected
Nov 29, 2017
Fidelity and Lincoln collaborate on custom technology suite
Nov 29, 2017
Graphic: Where IBDs are targeting their technology investments
Nov 28, 2017
Ask the Ethicist: How to respond when your boss makes offensive sexual jokes
Nov 28, 2017
Vanguard rolls out actively managed factor ETFs
Nov 28, 2017
Eleanor Blayney to retire from CFP Board
Nov 28, 2017
Coach clients on salary negotiations
Nov 28, 2017
401(k) managed account push rife with conflicts of interest
Nov 28, 2017
Trump boosts tax plan with Obamacare assist
Nov 28, 2017
Day after DOL delay, SEC's Jay Clayton calls a fiduciary rule a priority
Nov 28, 2017
Senate tax bill survives budget committee, heads to floor vote
Nov 28, 2017
Bank loans or high-yield bonds? Maybe both.
Nov 28, 2017
Fross brothers must pay fired partner $1 million
Nov 27, 2017
Tax-hike fears fuel talk of relocating
Nov 27, 2017
CFPB in flux as dueling heads show up to lead
Nov 27, 2017
UBS broker-protocol exit shows independent channel is bleeding wirehouses of advisers
Nov 27, 2017
Waddell & Reed replaces head of its broker-dealer
Nov 27, 2017
UBS broker-protocol exit puts firm before clients
Nov 27, 2017
UBS exits protocol for broker recruiting
Nov 27, 2017
Delay of DOL fiduciary rule enforcement mechanisms now final
Nov 27, 2017
Get smart about the future of trading
Nov 25, 2017
Clarifying difference between advice, sales not as simple as it sounds
Nov 25, 2017
Smart money says temper expectations of stock returns
Nov 25, 2017
Can the SEC and DOL really harmonize advice standards for brokers and advisers?
Nov 22, 2017
Mom-and-pop shops are threatening the mall this holiday season
Nov 22, 2017
Bond investors should prepare for string of rate hikes in 2018
Nov 22, 2017
CIT interest rising among 401(k) sponsors
Nov 22, 2017
SEC hack said likely to involve Eastern European criminals
Nov 22, 2017
Do specialized retirement plan advisers even need a broker-dealer?
Nov 22, 2017
Former H.D. Vest broker barred for noncooperation
Nov 22, 2017
Insiders may not have as much investing savvy as you think
Nov 22, 2017
Adviser Daniel Glick charged with ripping off elderly, including his in-laws
Nov 22, 2017
Finra bars no-show former Raymond James bank broker
Nov 22, 2017
Nontraded BDC sales in worst year since 2010
Nov 22, 2017
These 401(k) lawsuits show the value of investment policy statements
Nov 22, 2017
Filial laws put kids on the hook for parents' health-care costs
Nov 22, 2017
Top-earning advisers aim to become industry thought leaders
Nov 22, 2017
401(k) plan sponsors are taking RFPs more seriously — advisers should, too
Nov 22, 2017
Retirement plan advisers need to start planning for their own succession
Nov 22, 2017
Excessive-fee litigation in retirement plan market moving downstream
Nov 22, 2017
Retirement plan sponsors' top criteria for choosing an adviser
Nov 21, 2017
J.P. Morgan Securities fined $1.25 million by Finra
Nov 21, 2017
Medicare premiums and Social Security COLAs: Here's why retirees will pay up in 2018
Nov 21, 2017
Wealth managers inundated with questions on bitcoin
Nov 21, 2017
Investors' bitcoin questions rise along with asset's value
Nov 21, 2017
A third-party cyber attack is your firm's problem
Nov 21, 2017
An American Thanksgiving
Nov 21, 2017
Nontraded REITs to post worst sales since 2002
Nov 21, 2017
Tax reform debate sparks fresh interest in donor-advised funds
Nov 21, 2017
Wells Fargo sued, again, for using in-house funds in 401(k) plan
Nov 21, 2017
Advisers predict volatility will rise
Nov 21, 2017
Finra updates and enhances Fund Analyzer tool
Nov 21, 2017
Year-end charitable-giving strategies
Nov 21, 2017
DOL fiduciary rule limiting DCIO support to plan advisers in unexpected ways
Nov 21, 2017
Medicare premiums and Social Security COLAs: Here's why retirees will pay up in 2018
Nov 20, 2017
Adviser recruiting may need new tack for women
Nov 20, 2017
Women don't need to be advisers to succeed in advice industry
Nov 20, 2017
Change is slow when it comes to gender diversity at independent advisory firms
Nov 20, 2017
Congresswomen put financial advice issues front and center
Nov 20, 2017
One place where the women wealth equation doesn't add up
Nov 20, 2017
Harvey Weinstein-like behavior won't be tolerated by this adviser group
Nov 20, 2017
Should America's upper-middle class take the biggest tax hit?
Nov 20, 2017
What really deters women from staying in the financial advice profession
Nov 20, 2017
403(b) advisers disappointed with TIAA, but say other providers are 'way worse'
Nov 20, 2017
SEC to target more individual advisers in 2018, experts say
Nov 20, 2017
Women can help themselves and other women in financial advice
Nov 20, 2017
Wells Fargo sees big TDF outflows from mutual funds
Nov 20, 2017
Retired Morgan Stanley rep fined for unsuitable advice
Nov 20, 2017
Many women have had to work extra hard to earn credibility in financial services
Nov 20, 2017
Broker protocol for recruiting a boon for clients
Nov 18, 2017
Deena Katz on the key to the profession's future
Nov 18, 2017
Pershing's Lisa Dolly asks one key question to judge a job candidate
Nov 17, 2017
Finra bars no-show ex-Woodbury rep
Nov 17, 2017
Raymond James executives call on industry to keep broker protocol
Nov 17, 2017
Senate committee approves tax plan but full passage not assured
Nov 17, 2017
Advisers ignore 'responsible investing' at their own risk
Nov 17, 2017
Tax reform: Retirement industry dodges bullet as Senate and House bills advance
Nov 17, 2017
How to discuss philanthropy with wealthy clients
Nov 17, 2017
2018 Medicare changes will erase Social Security COLAs for many
Nov 17, 2017
No-SALT diet could be financially unhealthy for some clients
Nov 16, 2017
Finra bars ex-broker for private securities deals
Nov 16, 2017
U.S. economic expectations hit 3-month high
Nov 16, 2017
Financial Focus takes $446 million in assets from NPC to Securities America
Nov 16, 2017
Boost retirement income with home equity
Nov 16, 2017
Betterment launches 'free' charitable-giving platform
Nov 16, 2017
New York financier Lynn Tilton faces new fraud charges over distressed companies
Nov 16, 2017
HSAs next cash cow for 401(k) plan advisers: expert
Nov 16, 2017
Morningstar, Orion and many more vendors unleash tech launches at Schwab IMPACT
Nov 16, 2017
Jeffrey Gundlach attacks break for hedge funds in tax plan
Nov 16, 2017
House passes tax bill, focus turns to Senate
Nov 16, 2017
'Affiliation arbitrage' is a bad reason to go RIA
Nov 16, 2017
UBS raising client fees, factoring in liabilities
Nov 15, 2017
Betterment launches 'free' charitable-giving platform
Nov 15, 2017
Experts upbeat on stock market, economy in the year ahead
Nov 15, 2017
Digital disruption coming for asset managers, says Moody's
Nov 15, 2017
Consumer Financial Protection Bureau's Cordray to step down
Nov 15, 2017
Finra fines Horner Townsend & Kent $275,000 over VA sales
Nov 15, 2017
PIABA accuses Finra of conflicts of interest
Nov 15, 2017
Fidelity's eMoney Advisor partners with Schwab
Nov 15, 2017
American Retirement Association adds Plan Sponsor Council of America
Nov 15, 2017
Schwab execs sound off on Bitcoin, HSAs and Morgan Stanley exit from broker protocol
Nov 15, 2017
Schwab study: Firms want people skills more than analytical prowess
Nov 15, 2017
Echelon: RIA M&A slowdown not due to fewer breakaway advisers
Nov 15, 2017
SEC enforcement of advisers drops in Trump era
Nov 15, 2017
Changes to Senate tax bill affect pass-throughs, Roths
Nov 15, 2017
CFP Board makes changes to proposed code of ethics, will seek more comments
Nov 15, 2017
LPL's recruiting of top advisers falls for third straight quarter
Nov 15, 2017
Clients want better investment management, survey finds
Nov 15, 2017
RIA valuations too specific to base on other sales
Nov 15, 2017
Morningstar's tax-cost ratios beat its fund rankings
Nov 15, 2017
Help Clients Make Charitable Giving History
Nov 14, 2017
Repealing estate tax could open new path to wealth for clients
Nov 14, 2017
GE shows what can go wrong with dividend strategy
Nov 14, 2017
RBC Wealth Management on recruiting roll
Nov 14, 2017
Envestnet Tamarac overhauls adviser software
Nov 14, 2017
Wells Fargo requires advisers to use level fees for new 401(k) business
Nov 14, 2017
SEC charges former Georgia adviser with $1.86 million elder fraud
Nov 14, 2017
Yes, impact investing can be profitable
Nov 14, 2017
Mohamed El-Erian in race for Fed Vice Chair: CNBC
Nov 14, 2017
To 'fix' the broker protocol, bring in the SEC
Nov 14, 2017
Firms explore ways to bolster the number of female financial advisers
Nov 13, 2017
Boost retirement income with home equity
Nov 13, 2017
Brokers managing $366 million at credit union affiliate with Lincoln
Nov 13, 2017
Financial advice industry must give 'soft skills' the credit they deserve
Nov 13, 2017
Three former TD execs have big plans for small TAMP
Nov 13, 2017
SEC fines Wells Fargo Advisors $3.5 million
Nov 13, 2017
Cole Capital, once part of a company coveted by Nicholas Schorsch, is being sold
Nov 13, 2017
Largest U.S. pension fund may slash exposure to stocks
Nov 13, 2017
Say goodbye to IBDs, and hello to 'IAB firms'
Nov 11, 2017
Exiting broker protocol may not be good move for industry
Nov 11, 2017
Can Robert Moore save Cetera?
Nov 10, 2017
Borzi: Hard for Acosta to justify long DOL fiduciary rule delay
Nov 10, 2017
Jeffrey Gundlach called it on risky link between stocks and junk bonds
Nov 10, 2017
TIAA subpoenaed over sales practices
Nov 10, 2017
Senate tax proposal gives deduction for pass-through businesses
Nov 10, 2017
Everything you need to know about the Senate GOP tax proposal
Nov 10, 2017
Head of Merrill Lynch's adviser-sold 401(k) sales to depart
Nov 09, 2017
Someone tried to hack my Social Security account
Nov 09, 2017
Bills to bolster accredited investors, alternative investments gain momentum
Nov 09, 2017
Finra fines Ameritas $180,000 over VA sales
Nov 09, 2017
LPL loses another big team to Securities America
Nov 09, 2017
Ex-Merrill rep suspended, fined $10,000 over expense reports
Nov 09, 2017
Prepare clients for an untimely end to Roth conversion do-overs
Nov 09, 2017
Bills to bolster accredited investors, alternative investments gain momentum
Nov 09, 2017
Finra panel bars broker for defrauding elderly client
Nov 09, 2017
How confusing are the fees brokers charge?
Nov 09, 2017
Tax reform: House bill revisions include lower pass-through rate for small businesses
Nov 09, 2017
The latest in financial adviser #FinTech
Nov 09, 2017
Advisers still wary of bitcoin as interest grows
Nov 09, 2017
Smart data can improve behavior, outcomes for retirement savers
Nov 09, 2017
Tax reform: What advisers need to know about the Senate bill
Nov 08, 2017
Merrill Lynch swells ranks of fiduciary 401(k) advisers by over 3,000
Nov 08, 2017
Clayton: SEC targets 'complex, hidden fees'
Nov 08, 2017
J.P. Morgan settles lawsuit on alleged fiduciary breach in stable value funds
Nov 08, 2017
LPL says it's on track to recruit 70% of National Planning Holdings revenue
Nov 08, 2017
Behavioral finance can attract fee-based assets
Nov 08, 2017
Merrill Lynch releases new compensation plan
Nov 08, 2017
Capitect using technology to deliver 'mass personalization' to portfolios
Nov 08, 2017
Bank brokers managing $700 million at SunTrust move to Pinnacle
Nov 08, 2017
Brian Block sentenced to 18 months in prison
Nov 07, 2017
A $1 billion super OSJ leaves NPC for Royal Alliance
Nov 07, 2017
Millennials, women drive assets to ESG strategies
Nov 07, 2017
Finra bars former AXA broker for no-show
Nov 07, 2017
Retirement plan advisers, providers hit 'pause' on DOL fiduciary rule compliance
Nov 07, 2017
Breakaway broker deals a drag on M&A activity in third quarter
Nov 07, 2017
Finra bars two Schorsch-linked ex-salesmen in proxy scam
Nov 07, 2017
Salesforce partners with IBM Watson for AI use in CRM
Nov 07, 2017
Bridgewater founder defends co-CEO Greg Jensen as a 'man of high character'
Nov 07, 2017
Wells Fargo loses $265 million adviser to Raymond James
Nov 07, 2017
Philip Palaveev on how firms should be recruiting young talent
Nov 06, 2017
Tax reform: Advisers spy loopholes in proposed pass-through tax rules
Nov 06, 2017
GOP tax plan creates surprise divorce penalty
Nov 06, 2017
Finra reform getting traction in Washington
Nov 06, 2017
Wells Fargo launches hybrid robo-adviser
Nov 06, 2017
Super OSJ managing $744 million leaves NPC
Nov 06, 2017
Tap role models to maximize efficiency
Nov 06, 2017
Lehman's Dick Fuld expanding into p-e offerings, hedge funds
Nov 06, 2017
Judge grants injunction against DOL fiduciary rule in Thrivent lawsuit, halts case
Nov 06, 2017
Two former reps barred for Finra no-shows
Nov 06, 2017
LPL cuts fees for advisers using its corporate RIA platform
Nov 06, 2017
Someone tried to hack my Social Security account
Nov 06, 2017
Ed Slott on Roth IRA conversions becoming permanent
Nov 05, 2017
Tax reform: Advisers will have plenty to digest as legislation works its way through Congress
Nov 04, 2017
Broker-dealers debate big data and other technology promises
Nov 04, 2017
Do financial advisers need mandatory technology adoption?
Nov 04, 2017
SEC Chairman Jay Clayton's quest to forge a fiduciary standard
Nov 04, 2017
Technology issues test RIAs and custodians
Nov 04, 2017
What's the next emerging technology for advisers?
Nov 04, 2017
America's digital financial habits disappoint
Nov 03, 2017
IBDs can protect good advisers from bad recruits
Nov 03, 2017
Former First Allied broker barred
Nov 03, 2017
Tax reform: How the House bill changes rules for retirement savings
Nov 03, 2017
Morgan Stanley advisers feel burned by broker protocol exit
Nov 03, 2017
Questar to pay nearly $800,000 for overcharging charities
Nov 03, 2017
Finra: Morgan Stanley must pay Schwab $1.2 million over broker recruiting violation
Nov 03, 2017
Women at Fidelity describe culture of bias, revenge
Nov 03, 2017
2018 and beyond: Business planning, and questioning
Nov 02, 2017
Tax bill has huge changes for firms, individuals
Nov 02, 2017
Former LPL broker loses $30 million claim against old firm
Nov 02, 2017
Tax reform: What advisers need to know about the House bill
Nov 02, 2017
DOL fiduciary: OMB receives rule providing for 18-month delay
Nov 02, 2017
Brace clients for a big capital gains season
Nov 02, 2017
Morgan Stanley's broker protocol exit: How did we get here?
Nov 02, 2017
LPL sheds $1 billion in assets as NPH 'refugees' form RIA
Nov 02, 2017
Houston RIA charged in $1.9M elder swindle gets five years
Nov 02, 2017
Why the House tax bill could be a 'bonanza' for advisers
Nov 02, 2017
Trump picks Jerome Powell to lead Federal Reserve at a tricky time
Nov 02, 2017
Advisory firm owners unlikely to see windfall on tax returns from House bill
Nov 02, 2017
Finra panel orders Houston firm and two reps to pay $2 million for securities sales
Nov 01, 2017
House tax chief says he plans to preserve 401(k) pretax limits
Nov 01, 2017
Sharing on social media: How to do it right every time
Nov 01, 2017
4 questions every adviser should be able to answer
Nov 01, 2017
Two more NPH firms spurn LPL, affiliate with Woodbury Financial
Nov 01, 2017
The history of bonds — at least since yields hit record lows last year
Nov 01, 2017
The coming financial caregiving crisis
Nov 01, 2017
Senate Banking Committee approves SEC nominees Hester Peirce and Robert L. Jackson Jr.
Nov 01, 2017
Broker says she was fired for raising red flag about a wealthy client
Nov 01, 2017
Why Wirehouse Advisors Shouldn't Fear Going Independent
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