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Site Map for December 2017
Date
Title
Dec 29, 2017
Tax bill may change your clients' health-care costs
Dec 29, 2017
Don't overlook funds that lagged S&P 500 in 2017
Dec 29, 2017
Citigroup is latest big firm to dump broker protocol
Dec 29, 2017
Roth IRAs hit 20 years old on New Year's Day
Dec 29, 2017
Rep fired by NY Life barred from industry for failing to show up at Finra hearing
Dec 28, 2017
RIAs hedge market risk with actively managed funds
Dec 28, 2017
Affluent Americans inundate accountants for advice
Dec 28, 2017
Get expert help filing Social Security disability claims
Dec 28, 2017
Citigroup must pay $11.5 million over garbled stock ratings
Dec 28, 2017
Fake comments hit regulators seeking input on proposed rules
Dec 28, 2017
Assets in fiduciary accounts grow to 42% of total
Dec 28, 2017
These 401(k) lawsuits show the value of investment policy statements
Dec 28, 2017
Time to remind clients why they won't beat the Dow this year
Dec 28, 2017
From wall street to main street: a succession story
Dec 27, 2017
Clients need help filing Social Security disability claims
Dec 27, 2017
Affluent Americans inundate accountants for advice
Dec 27, 2017
Your tax bill questions answered
Dec 27, 2017
Ask the Ethicist: Help the CFP Board improve its revised standards
Dec 27, 2017
Tax bill prompts client questions on prepaying property taxes before 2018
Dec 27, 2017
Merrill Lynch team managing $262 million goes indie at Raymond James
Dec 27, 2017
Morgan Stanley team managing $180 million joins Raymond James in California
Dec 27, 2017
J.P. Morgan fined $2.8 million for clearing errors
Dec 27, 2017
Nuveen jumps into changing nontraded REIT market
Dec 27, 2017
New York State proposes 'best interest' standard for life insurance and annuities
Dec 27, 2017
Some fund managers see heavy outflows despite solid performance gains
Dec 27, 2017
William Galvin fines Securities America over radio ads
Dec 27, 2017
Finra bars ex-Merrill broker alleged to have borrowed money from clients
Dec 22, 2017
CFP Board touts revised standards in $80,000 Wall St. Journal ad
Dec 22, 2017
Merrill Lynch fined $26 million over suspicious transactions
Dec 22, 2017
Faith-based funds shine in 2017
Dec 22, 2017
After a superb 2017, brokerage stocks should continue to roll next year
Dec 22, 2017
Trump signs $1.5 trillion tax cut
Dec 22, 2017
Digital marketplaces aim to ease RIA access to alternative investments
Dec 22, 2017
Five obstacles to true tax optimization
Dec 22, 2017
New DOL, SEC officials help advance fiduciary rule work
Dec 22, 2017
Avoid these bond-buying pitfalls
Dec 22, 2017
New Social Security rules trip up widow's adviser
Dec 22, 2017
4 questions to ask before doing a 401(k) plan re-enrollment
Dec 21, 2017
Outlook 2018: Fund companies weigh in
Dec 21, 2017
Interest in donor-advised funds surges in response to tax changes
Dec 21, 2017
Outlook 2018: Fund companies weigh in
Dec 21, 2017
SEC charges Woodbridge Group with running $1.2 billion Ponzi scheme
Dec 21, 2017
Longevity is the best reason to invest in LTC
Dec 21, 2017
Bitcoin frenzy sparks Finra cryptocurrency warning
Dec 21, 2017
Female clients have gone from niche to the new normal
Dec 21, 2017
Silver lining in BDC fundraising figures
Dec 21, 2017
Finra advances proposals to clarify outside business activities, churning rules
Dec 21, 2017
Finra fines Raymond James $2 million over emails
Dec 21, 2017
United Capital acquires $530 million Payne Wealth Partners
Dec 21, 2017
Active Management: Why Challenge the Index?
Dec 20, 2017
Advisers fear private equity's reach into VAs
Dec 20, 2017
Finra will publish budget for first time in 2018
Dec 20, 2017
Political ETFs have fair share of haters
Dec 20, 2017
CFP Board modifies details of revised standards but maintains strengthened fiduciary duty
Dec 20, 2017
LPL loses $462,000 arbitration claim stemming from broker who ran Ponzi scheme
Dec 20, 2017
Two more bitcoin ETFs test luck with SEC
Dec 20, 2017
Former State Farm rep barred by Finra
Dec 20, 2017
Interest in donor-advised funds surges in response to tax changes
Dec 20, 2017
Morningstar sells Broadridge its board consulting services business
Dec 20, 2017
Manager of Merrill Lynch's flagship Manhattan branch walks
Dec 20, 2017
Krawcheck expands Ellevest robo to three service levels with more human advice
Dec 20, 2017
SEC charges Washington state RIA with multi-million dollar fraud
Dec 20, 2017
How the tax bill will affect 8 families
Dec 20, 2017
Congress sends Trump tax-cut bill
Dec 20, 2017
GMO favors emerging markets value stocks
Dec 20, 2017
RIA sellers need their own Zillow
Dec 20, 2017
Quovo enables customers to add personal finance management tools
Dec 20, 2017
It's almost 2018 — what's your marketing plan?
Dec 20, 2017
Anchor Capital buys back majority stake from Boston Private
Dec 20, 2017
Ten years after the crisis, investors need advisers more than ever
Dec 20, 2017
2018 predictions for 401(k) advisers, distributors and record keepers
Dec 20, 2017
Women in Advice
Dec 19, 2017
New York, Massachusetts eye MetLife's unpaid pensions
Dec 19, 2017
Northwest Bank moves $1.3 billion in assets from Cetera to LPL
Dec 19, 2017
Finra fines Merrill Lynch $1.4 million over extended settlement transactions
Dec 19, 2017
Ex-Smith Barney broker who needed new heart in fight with Morgan Stanley over clients
Dec 19, 2017
ESG investing: Assessing the 'E,' 'S' and 'G'
Dec 19, 2017
Getting retirees to spend more money can be a hard sell for advisers
Dec 19, 2017
Broker accepted kickbacks for IPO access: SEC
Dec 19, 2017
House passes GOP tax bill
Dec 18, 2017
Fidelity report says RIAs are cutting fees, working harder
Dec 18, 2017
TD Ameritrade report says brokerage industry driving reps out the door
Dec 18, 2017
Team managing $700 million at J.P. Morgan moves to hybrid RIA
Dec 18, 2017
Vanguard lags BlackRock in ETF sales
Dec 18, 2017
Final tax bill gives pain, relief to financial advisers
Dec 18, 2017
Report: Arbitrations handled by non-lawyers can harm investors
Dec 18, 2017
Tax plan: Everything financial advisers need to know about the final bill
Dec 18, 2017
How your clients can exploit the new tax bill right now
Dec 18, 2017
Broker managing $141 million at Stifel joins Ameriprise
Dec 18, 2017
Ex-Morgan Stanley execs pick up firm's advisers
Dec 18, 2017
2017 Innovator: Richard Wagner
Dec 16, 2017
Cryptocurrency frenzy poses a challenge to advisers
Dec 15, 2017
SEC bars New York adviser for fraud
Dec 15, 2017
Finra bars former LPL broker for 'misrepresentations'
Dec 15, 2017
Broker-dealer asset growth outpaces rival channels, Cerulli says
Dec 15, 2017
Income-tax brackets in combined GOP bill
Dec 15, 2017
Three keys to succession planning
Dec 15, 2017
SEC charges Indiana RIA with misleading investors
Dec 15, 2017
For brokers, tax bill could bring shakeups and job changes
Dec 14, 2017
Tax overhaul could help U.S. real estate investors
Dec 14, 2017
Tax update: Brady says sales tax deduction in final bill
Dec 14, 2017
UBS replaces wealth management chief
Dec 14, 2017
Regulators showing renewed interest in cracking down on investment fees
Dec 14, 2017
Team with $800M in assets leaves Wells Fargo FiNet for Raymond James
Dec 14, 2017
Survey: 41% of households mix digital, human financial advice
Dec 14, 2017
UBS team managing $440 million moves to Raymond James
Dec 14, 2017
Finra bars former MML broker for refusing on-record testimony
Dec 14, 2017
Buybacks, CEO pay add up to big costs for shareholders
Dec 14, 2017
Morgan Stanley's aggressive move against former employee puts brokers on notice
Dec 14, 2017
RIAs struggle to keep clients grounded amid stock market euphoria
Dec 14, 2017
Complexity of new indexed annuities causing concern
Dec 14, 2017
Invest Forward launches white-label robo for advisers
Dec 14, 2017
The case for active engagement
Dec 14, 2017
Digital investing will bring big changes in 2018
Dec 13, 2017
David Bach wants to turn RIAs into 'local celebrities'
Dec 13, 2017
Finra bars former Next rep over incomplete information
Dec 13, 2017
NASAA: Promissory notes top investor complaints
Dec 13, 2017
House and Senate reach tentative compromise for tax overhaul
Dec 13, 2017
Investment firms race to master financial tech before potential super rivals
Dec 13, 2017
Broker, retirement groups make last-minute pleas to change tax legislation
Dec 13, 2017
Indie administering $300 million goes from SII to FSC
Dec 13, 2017
House bill would allow electronic disclosure of retirement plan information
Dec 13, 2017
Brinker Capital co-founder and vice chairman John Coyne III resigns
Dec 13, 2017
Tax bill may up capital gains taxes, disrupt adviser strategies
Dec 13, 2017
Critics say regulation hasn't curbed overly rosy projections for indexed universal life insurance
Dec 13, 2017
Three big effects of the shifting broker protocol
Dec 13, 2017
Morgan Stanley wins restraining order, but former broker can contact clients
Dec 13, 2017
TIAA-owned robo MyVest automates middle-office tasks
Dec 13, 2017
Buybacks, CEO pay add up to big costs for shareholders
Dec 13, 2017
Approaching international growth with a valuation focus: where ClearBridge sees opportunities
Dec 12, 2017
SEC charges Connecticut hybrid with fraud
Dec 12, 2017
SII loses $380 million team to Ameriprise
Dec 12, 2017
Jay Clayton issues cryptocurrency warning
Dec 12, 2017
Vanguard will use blockchain to share index data
Dec 12, 2017
SIFMA makes client-data safety a top priority
Dec 12, 2017
Some ETFs, mutual funds invest indirectly in bitcoin
Dec 12, 2017
New adviser credential hones accumulation skills
Dec 12, 2017
LPL retains $1.6B Zuk Financial Group
Dec 12, 2017
Is the Trump effect over?
Dec 12, 2017
UBS loses $327 million adviser to Alex. Brown
Dec 12, 2017
Personal client communication shows your value
Dec 11, 2017
Finra fines three former Cetera firms over sales
Dec 11, 2017
Fi360 upgrades adviser fee-benchmarking tool
Dec 11, 2017
Brace for steepest rate hikes since 2006 in new year
Dec 11, 2017
Bitcoin futures debut with 26% rally
Dec 11, 2017
SEC charges former Philadelphia broker with fraud
Dec 11, 2017
Industry opponents urge appeals court to rule on DOL fiduciary rule
Dec 11, 2017
FS Investments parts ways with Blackstone, announces new partnership with KKR
Dec 11, 2017
Finra bars two former Wells Fargo reps over unsuitable energy securities
Dec 11, 2017
Bitcoin is likely to gain widespread acceptance
Dec 11, 2017
Capitalism is beautiful. Young prospects might disagree
Dec 11, 2017
Raymond James, Stifel pick up wirehouse advisers
Dec 11, 2017
More advisory firms develop bench strength as competition for heavy hitters intensifies
Dec 09, 2017
Congress' work on tax reform barely gets a passing grade
Dec 09, 2017
Why private equity wants a piece of the RIA market
Dec 09, 2017
Largest fee-only RIAs by region, based on assets under management
Dec 08, 2017
Getting bitcoin exposure without its baggage
Dec 08, 2017
As firms pull out of protocol agreement, wirehouse brokers show more interest in breaking away: execs
Dec 08, 2017
Finra would have special arbitrators make expungement decisions
Dec 08, 2017
Finra bars former UBS rep for private securities transactions
Dec 08, 2017
Morgan Stanley will boost savings with broker-protocol exit, UBS analysts say
Dec 08, 2017
Finra report hints at trouble with L-share variable annuities
Dec 08, 2017
Tax reform will boost food, chemicals, rail stocks. Technology? Not so much
Dec 08, 2017
Barred Florida broker goes on to sell millions in defunct Woodbridge loans
Dec 08, 2017
Richard Thaler talks about the formation of his RIA ... and winning the Nobel Prize
Dec 08, 2017
SEC orders Ameriprise and other firms to pay $9 million for F-Squared sales
Dec 08, 2017
Raymond James gets Merrill Lynch, Morgan Stanley advisers managing $560 million
Dec 07, 2017
The Latest In Financial Advisor #FinTech
Dec 07, 2017
Older boomers embrace retirement, study finds
Dec 07, 2017
As cash flows to companies after tax reform, here's how to invest
Dec 07, 2017
Stripped of fat commissions, nontraded REIT sales tank
Dec 07, 2017
What advisers should consider before taking a capital infusion
Dec 07, 2017
Vanguard's Bogle sees pension pain in low bond returns
Dec 07, 2017
LPL signs $530 million NPH-firm, Fross & Fross Wealth Management
Dec 07, 2017
Finra censures Investacorp for laxity on fund sales
Dec 07, 2017
Morgan Stanley fires former Congressman Harold Ford for misconduct
Dec 07, 2017
LPL retains $4.3 billion at The Planners Network
Dec 07, 2017
Next Financial whacked (once again) by Finra
Dec 07, 2017
Hybrid firm managing $900 million switches affiliation to Triad Advisors
Dec 07, 2017
Finra: Firms begin to heed cybersecurity, but have much to do
Dec 06, 2017
SEC charges two former brokers with churning
Dec 06, 2017
Legislation to combat elder financial abuse advances in Senate
Dec 06, 2017
Senate tax bill changes for pass-throughs more generous than House version, experts say
Dec 06, 2017
Broker protocol is good for firms and clients, study finds
Dec 06, 2017
Advisers face pressure to automate workflows
Dec 06, 2017
Finra notes compliance pitfalls in first-time release of exam findings
Dec 06, 2017
Older boomers embrace retirement, study finds
Dec 06, 2017
You owe clients a better grasp on funds and SMAs
Dec 06, 2017
Your practice needs total digital transformation
Dec 05, 2017
Finra says BB&T overcharged retirement plans, charities
Dec 05, 2017
Medicare surcharge notices are shocking retirees
Dec 05, 2017
SEC charges adviser in Dawn Bennett fraud case
Dec 05, 2017
Wells Fargo adviser jumps to Kingsview
Dec 05, 2017
Pension transfers in vogue as expense grows, and companies shift to 401(k) plans
Dec 05, 2017
As cash flows to companies after tax reform, here's how to invest
Dec 05, 2017
Woodbridge bankruptcy burns advisers and real estate investors
Dec 05, 2017
Blockchain will change the advisory business—someday
Dec 05, 2017
Wentworth buys Purshe Kaplan Sterling
Dec 05, 2017
Terrorist groups take a lesson from corporations
Dec 05, 2017
UBS loses $228 million team to TRUE Private Wealth Advisors
Dec 05, 2017
Avoid year-end RMD errors on retirement plans
Dec 05, 2017
Broker-dealer M&A: Is your firm next?
Dec 04, 2017
Merrill Lynch to remain in the broker protocol for recruiting agreement
Dec 04, 2017
BlackRock, Vanguard on track to manage $20 trillion within a decade
Dec 04, 2017
Texas broker-dealer that sold troubled REIT to close
Dec 04, 2017
Wells Fargo adviser managing $219 million joins Ameriprise
Dec 04, 2017
Twitter grows from 140 characters to 280 -- what happens now?
Dec 04, 2017
Morgan Stanley creates its own robo-adviser
Dec 04, 2017
Two workplace retirement savings bills introduced in House
Dec 04, 2017
What advisers need to know about the differences in the Senate and House tax bills
Dec 02, 2017
ESG funds boosted by women and millennial investors
Dec 02, 2017
Younger baby boomers face hurdles as they approach retirement
Dec 02, 2017
Young boomers have some advantages over older counterparts
Dec 02, 2017
Finra needs to get serious about its pledge to protect investors
Dec 02, 2017
Which investors are most attracted to ESG investments and why?
Dec 01, 2017
Last chance for retirees to save on drug costs
Dec 01, 2017
Senate tax bill is a hike on retail investors
Dec 01, 2017
Unions could be 'next frontier' for retirement plan litigation
Dec 01, 2017
Wells Fargo 2018 pay grid changes deferred comp
Dec 01, 2017
How to balance marketing and compliance
Dec 01, 2017
Lynn Tilton loses dispute over her removal from board seats
Dec 01, 2017
Seven business strategies for advisers in 2018
Dec 01, 2017
Take Five with Daniel Chung of the Alger funds
Dec 01, 2017
Four-person hybrid group leaves SII for Commonwealth
Dec 01, 2017
Senate tax bill has something for every Republican to hate
Dec 01, 2017
Last chance for clients to save on drug costs
Dec 01, 2017
Protecting client data at advice firms
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