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Site Map for January 2018
Date
Title
Jan 31, 2018
Reining in cryptocurrency top priority for SEC
Jan 31, 2018
Securities class-action lawsuits set record in 2017, report finds
Jan 31, 2018
Finra expands crackdown on rogue brokers
Jan 31, 2018
Three incorrect assumptions all robo-advisers make about clients
Jan 31, 2018
Wells quants predict Patriots will win the Super Bowl
Jan 31, 2018
The good and mostly bad of rising interest rates
Jan 31, 2018
How advisers can survive disruptive technology
Jan 31, 2018
SEC censures Indiana-based RIA Mohlman Asset Management
Jan 31, 2018
401(k) advisers vs. institutional consultants: On a collision course?
Jan 30, 2018
This is the No. 1 cybersecurity threat to financial advisers, experts say
Jan 30, 2018
Jump in or jump out? Advisers hear both sides in this market
Jan 30, 2018
DOL fiduciary rule responsible for drop in Stifel adviser headcount: CEO
Jan 30, 2018
The mutual fund men's club needs more women
Jan 30, 2018
CFP Board's new head of gender diversity lays out her agenda
Jan 30, 2018
House approves legislation to help advisers combat senior exploitation
Jan 30, 2018
LPL retains 17-broker team managing $740 million
Jan 30, 2018
Texas suspends state RIA for 90 days
Jan 30, 2018
The 4 I's of building your best tech stack
Jan 30, 2018
Wall Street can't derail the move to lower fees
Jan 29, 2018
Correction in equities would be a buying opportunity, Goldman says
Jan 29, 2018
Orion launches direct indexing
Jan 29, 2018
LPL holds on to $1.6 billion adviser group
Jan 29, 2018
Advisers probably don't know about this tax-saving strategy
Jan 29, 2018
John Taft joins Baird as vice chairman
Jan 29, 2018
As tax season gets underway, clients are looking ahead to how tax bill will affect 2018 returns
Jan 29, 2018
7 things successful people do right
Jan 29, 2018
Ask the Ethicist: How big a gift is too much?
Jan 29, 2018
Mutual of Omaha sued over 401(k) plan fees, investment options
Jan 29, 2018
Wealthfront app to help millennials with this lofty goal
Jan 29, 2018
As Trump prepares for State of the Union, 50% of advisers approve of his job performance
Jan 29, 2018
Timing is crucial for Social Security and Medicare
Jan 29, 2018
Prudential pivots toward indexed annuities
Jan 29, 2018
Wells Fargo $350 million team goes indie with Raymond James
Jan 29, 2018
Morgan Stanley said to be trimming 600 funds from platform
Jan 29, 2018
Risk Management for All Markets
Jan 27, 2018
Finra should fix budget shortfall by tackling expenses
Jan 27, 2018
Independent broker-dealers are stepping up their game on recruiting from the wirehouses
Jan 26, 2018
Finra elder-abuse rule could trigger delicate conversations between brokers, clients
Jan 26, 2018
How bitcoin and blockchain will change the world
Jan 26, 2018
Why this company pays to train its employees' dogs
Jan 26, 2018
Capital Group, sponsor of American Funds, wins 401(k) lawsuit
Jan 26, 2018
BlackRock's CEO warns against sitting in cash
Jan 26, 2018
How a strong or weak dollar affects investment returns
Jan 26, 2018
SEC considers barring aggrieved investors from suing companies
Jan 26, 2018
New York lobbies for nationwide 'best-interest' standard for life insurance sales
Jan 26, 2018
Merrill Lynch veteran picked to replace Racquel Oden at Manhattan flagship office
Jan 26, 2018
AXA Advisors vice chairwoman Christine Nigro to leave
Jan 25, 2018
Empower Retirement finds reason to give clients projected vision of future
Jan 25, 2018
Wells Fargo, Morgan Stanley use contrary tactics to keep advisers
Jan 25, 2018
Empower unveils free 401(k) diagnostic tool
Jan 25, 2018
Why diversity and inclusion should matter to advisers
Jan 25, 2018
Mark Cortazzo leaves LPL after five years
Jan 25, 2018
How bitcoin and blockchain will change the world
Jan 25, 2018
How new leadership at DOL could address retirement rules
Jan 25, 2018
Raymond James and Ameriprise saw strong recruiting in 2017, vow to stay in broker protocol
Jan 25, 2018
Major financial trade groups to CFP Board: Slow the effort to raise mark's fiduciary standard
Jan 24, 2018
Wells Fargo erasing hurdles for advisers looking to move to its IBD
Jan 24, 2018
Bridgewater's Dalio says bonds face biggest bear market since '80s
Jan 24, 2018
Goldman's measure of risk appetite hits record
Jan 24, 2018
Fidelity pushes Vanguard to compete on brand in 401(k) plans
Jan 24, 2018
Merrill Lynch rep managing $200 million moves to Wells Fargo
Jan 24, 2018
Shrinking cash balances provide latest evidence of investor euphoria
Jan 24, 2018
Repeal of investment expense deduction may change advisers' fee strategy
Jan 24, 2018
As two wirehouses bail, RIAs flock to broker protocol
Jan 24, 2018
Finra suspends, fines broker for posting fake sex ads
Jan 24, 2018
New goal for ETF providers: Help advisers
Jan 24, 2018
Finra arbitrators award $878,712 to broker wrongfully terminated by Ameriprise
Jan 23, 2018
Finra arbitrators award more than $4 million in case against rogue broker
Jan 23, 2018
Fintech startup wants to help advisers find and sell muni bonds
Jan 23, 2018
Advisor Group B-Ds recruited 614 advisers last year
Jan 23, 2018
Retirement robo-adviser doubled assets to $2 billion in six months
Jan 23, 2018
New tool helps advisers estimate health care costs
Jan 23, 2018
SEC files suit against California hybrid adviser for fraud
Jan 23, 2018
El-Erian warns advisers on ETF liquidity
Jan 23, 2018
Pass-through provision in new tax law could benefit REITs, MLPs
Jan 23, 2018
Betterment beefs up 401(k) advisory board with ex-Vanguard expert
Jan 23, 2018
Retirement risks keep rising
Jan 23, 2018
Buy emerging markets for the growth, not the commodities
Jan 22, 2018
TD Ameritrade launches all-night trading for ETFs
Jan 22, 2018
How 401(k) deductions were saved in budget drama
Jan 22, 2018
House panel backs bill to scrap floating prices for money funds
Jan 22, 2018
Social Security payments to continue during government shutdown
Jan 22, 2018
RIA mergers and acquisitions set another record in 2017
Jan 22, 2018
Morgan Stanley seeks to clarify Harold Ford Jr.'s termination
Jan 22, 2018
Finra launches helpline for small-firm members
Jan 22, 2018
Fidelity charging new fee on Vanguard assets held in 401(k) plans
Jan 22, 2018
Two sentenced in fraud case for inflating price and trading volume of penny stock
Jan 22, 2018
Vanguard's Buckley: Fee compression is coming advisers' way
Jan 22, 2018
XY Planning Network payment tool now available for all fee-based planners
Jan 22, 2018
UBS adviser count continues to decline
Jan 22, 2018
Slower second half doesn't derail record pace of RIA acquisitions
Jan 22, 2018
Are you walking into a TDF trap?
Jan 22, 2018
Your most important client meeting ever
Jan 22, 2018
Financial advisers should avoid error by omission and consider reverse mortgages
Jan 20, 2018
Supreme Court review will bolster fairness of SEC's in-house judges
Jan 20, 2018
Cutting through the red tape of adviser regulation is tricky
Jan 19, 2018
Lawsuits push 401(k) plan sponsors to cut fees
Jan 19, 2018
State measures to prevent elder financial abuse gaining steam
Jan 19, 2018
Blockchain ETFs launch after bitcoin rout
Jan 19, 2018
How advisers can manage IRA rollover risk under the DOL fiduciary rule
Jan 19, 2018
Bond investors have more to worry about than a government shutdown
Jan 19, 2018
Beware: Medicare surcharges can change throughout year based on latest tax return
Jan 19, 2018
Wells Fargo loses rep managing $178 million to Stifel
Jan 19, 2018
SEC bars broker-adviser Frank Mazzola
Jan 19, 2018
State fiduciary rules may be reckoning for life insurance industry
Jan 18, 2018
Carson Group platform gives investors financial planning choices
Jan 18, 2018
Morgan Stanley's wealth management fees climb to all-time high
Jan 18, 2018
Hybrid group managing $1.3 billion leaves LPL
Jan 18, 2018
Vanguard warns of 'idiosyncratic risk' in cryptocurrencies' wild ride
Jan 18, 2018
Morgan Stanley reports a loss of advisers after exiting the protocol for broker recruiting
Jan 18, 2018
Lawsuits push 401(k) plan sponsors to cut fees
Jan 18, 2018
Securities America latest broker-dealer to let advisers use text messaging
Jan 18, 2018
Finra releases budget for first time, foresees declining operating revenues
Jan 18, 2018
Two practices, each managing $150 million, leave Wells Fargo FiNet
Jan 18, 2018
State measures to prevent elder financial abuse gaining steam
Jan 18, 2018
Why 401(k) advisers should be aware of contractual language limitations
Jan 18, 2018
Why raising fee awareness matters for 401(k) advisers
Jan 17, 2018
Relying on trainees, Merrill Lynch boosts adviser headcount in 2017
Jan 17, 2018
Former Investors Capital rep barred by Finra
Jan 17, 2018
TD Ameritrade finds momentum in its new model portfolio marketplace
Jan 17, 2018
Finra, investigating misuse of funds, bars former Edward Jones rep
Jan 17, 2018
Beware: Medicare surcharges can change throughout year based on latest tax return
Jan 17, 2018
Why aren't clients using QCDs? Help them!
Jan 17, 2018
Team managing $124 million at Raymond James moves to Ameriprise
Jan 17, 2018
Legislation would make it harder for investors to sue mutual funds over high fees
Jan 17, 2018
Tax reform creates opportunities for advisers
Jan 17, 2018
Tax bill creates adviser challenges for long-term planning
Jan 17, 2018
New Year's resolutions for 401(k) advisers
Jan 17, 2018
Investment committee 'best practices' that help to add discipline to portfolio management
Jan 17, 2018
Merrill rep managing $115 million joins HighTower
Jan 17, 2018
Ameriprise team managing $197 million joins Stifel
Jan 16, 2018
BlackRock takes aim at sacred cow to bring factors to the masses
Jan 16, 2018
Citigroup uses tax break windfall to rain profits on investors
Jan 16, 2018
Rising star at Merrill in New York lands at JP Morgan Chase
Jan 16, 2018
Bitcoin ETF fast track derailed by SEC liquidity, safety worries
Jan 16, 2018
CFP Board appoints Kathleen McQuiggan special adviser on gender diversity
Jan 16, 2018
A blockchain ETF by any other name smells sweeter to the SEC
Jan 16, 2018
Morgan Stanley broker reached beyond his affinity group for success
Jan 16, 2018
Lightyear Capital takes 50% stake in $9 billion HPM Partners
Jan 16, 2018
Delay in fiduciary rule does not take any wealth managers off the hook
Jan 16, 2018
Supreme Court review of SEC judges could roil pending cases
Jan 16, 2018
BlackRock's Fink asks top CEOs to reveal plans for spending cash flow from tax overhaul
Jan 16, 2018
Mercer acquires multimanager BFC to boost delegated investment push in Japan
Jan 16, 2018
Cuomo seeks New York tax revisions to thwart federal changes
Jan 16, 2018
Finra bars former Morgan Stanley rep over hearing no-show
Jan 16, 2018
In rare move, investment adviser named as defendant in NYU retirement plan case
Jan 16, 2018
Finra bars broker involved with Dawn Bennett
Jan 16, 2018
Fiduciary rule every bit as necessary for brokers, according to report
Jan 13, 2018
Amid seller's market for RIAs, firms must prep for potential sale
Jan 13, 2018
Oops! Unintended consequences of tax-law changes
Jan 13, 2018
Tax reform: 7 essential strategies for financial advisers
Jan 12, 2018
Tax bill SALT reduction could raise demand for munis
Jan 12, 2018
IRS releases new withholding tables
Jan 12, 2018
Bear market for bonds has arrived, Gross says
Jan 12, 2018
Buffett says tax law makes owning stocks more attractive
Jan 12, 2018
Energy funds rally sharply
Jan 12, 2018
Supreme Court to review appointment of SEC's in-house judges
Jan 12, 2018
Tax law: Everything advisers need to know about the pass-through provision
Jan 12, 2018
Segall Bryant & Hamill acquires Denver Investments, creating $20B wealth manager
Jan 12, 2018
Are your clients ready for higher volatility?
Jan 12, 2018
Increasing the number of women advisers an uphill climb
Jan 12, 2018
Fiduciary groups urge SEC to prevent brokers from using 'adviser' title
Jan 12, 2018
Apex partners with Trizic to reach more advisers
Jan 12, 2018
Fintech learns to play nice with traditional institutions
Jan 12, 2018
Busting DOL fiduciary rule myths of industry opponents
Jan 11, 2018
Merrill Lynch to let advisers text with clients
Jan 11, 2018
Envestnet adds easier document storage to Tamarac
Jan 11, 2018
Bear market for bonds has arrived, Gross says
Jan 11, 2018
SS&C buys DST for $5.4 billion in cash
Jan 11, 2018
Bill requiring fiduciary disclosure reintroduced in New Jersey
Jan 11, 2018
IRS releases new withholding tables
Jan 11, 2018
Adviser moves to expect in 2018
Jan 10, 2018
CapitalRock expands its fiduciary analyzer
Jan 10, 2018
Buffett says tax law makes owning stocks more attractive
Jan 10, 2018
New Jersey bank moves $700 million program from Invest to Cetera
Jan 10, 2018
Time's up for feminine famine in financial planning?
Jan 10, 2018
Stock fervor abounds as equities continue to rally
Jan 10, 2018
Gundlach says S&P 500 will post negative return in 2018
Jan 10, 2018
Bloomberg terminal alternatives popular with advisers
Jan 10, 2018
Technology is streamlining the process of issuing life insurance policies
Jan 10, 2018
The financial adviser evolution is underway
Jan 10, 2018
Court decision on DOL fiduciary rule expected in February
Jan 10, 2018
Arizona advisory firms partner to create $730M business
Jan 09, 2018
Duo managing $180 million at RBC joins Alex. Brown
Jan 09, 2018
RIAs expect faster asset growth in 2018
Jan 09, 2018
Mercer Advisors acquires two RIAs as M&A activity heats up
Jan 09, 2018
Qualified Plan Advisors acquires $4 billion retirement shop
Jan 09, 2018
5 easy social media resolutions for 2018
Jan 09, 2018
Misperceptions about the financial advice industry are stalling gender equality
Jan 09, 2018
A $1.2 billion super OSJ decides to stay with LPL
Jan 09, 2018
Advisers struck by opioid crisis seek to get the word out to peers and their communities
Jan 09, 2018
Take Five: Matt Hougan, Inside ETFs CEO predicts another record year for inflows
Jan 09, 2018
Don't Pave the Cow Paths… Blaze your own Path
Jan 08, 2018
The Colony Group adds $1.5 billion in double merger
Jan 08, 2018
At 81, emerging markets pioneer Mark Mobius is retiring
Jan 08, 2018
Morgan Stanley and adviser win lawsuit over annuity distribution
Jan 08, 2018
Finra warns brokers about moving clients from broker to advisory accounts
Jan 08, 2018
Finra panel awards investor $1.67 million in churning case
Jan 08, 2018
Growth of HSAs opens new market for financial advisers
Jan 08, 2018
Finra bars fired Ameriprise rep for churning accounts of elderly
Jan 08, 2018
Social Security rules for new retirees
Jan 08, 2018
Inflation in 2018: How big is the monster under the bed?
Jan 08, 2018
Brokerage stocks still have room to run: analyst
Jan 06, 2018
Commercial sales rules threaten to redefine fiduciary advice
Jan 06, 2018
2018 outlook in equity investing is mostly bright
Jan 06, 2018
Tax overhaul gift may turn into lump of coal sooner than later
Jan 06, 2018
2018 outlook in bond investing calls for change
Jan 06, 2018
By the numbers: Investing and business outlook for 2018
Jan 05, 2018
January surprise of vanishing Social Security COLA
Jan 05, 2018
Finra fines Meyers Associates $700,000 over sales literature
Jan 05, 2018
Trump's social-media saber rattling spawns fresh look at 'apocalypse insurance'
Jan 05, 2018
Dow surpasses 25,000 for first time, as bull market storms into 2018
Jan 05, 2018
Hanson McClain taps private equity for first merger
Jan 05, 2018
Tax law's pass-through provision could harm 401(k) plans
Jan 05, 2018
Massive investment fraud fueled by slick marketing, hot dinners
Jan 05, 2018
More funding for robo-advisers doesn't quell skeptics
Jan 04, 2018
Dividend funds could get a boost in 2018
Jan 04, 2018
AARP, state regulators launch find-an-adviser tool
Jan 04, 2018
State regulators warn investors about cryptocurrency dangers
Jan 04, 2018
States already seeking workarounds to Republican tax changes
Jan 04, 2018
States already seeking workarounds to Republican tax changes
Jan 04, 2018
SEC censures Arizona RIA for false ADVs
Jan 04, 2018
Morgan Stanley slashes junk bond allocation
Jan 04, 2018
State regulators warn investors about cryptocurrency dangers
Jan 04, 2018
Wirehouses turn away from bitcoin
Jan 04, 2018
NextCapital gets $30 million more in funding for its digital advice platforms
Jan 04, 2018
Wall Street aims to protect 401(k)s from hacking nightmare
Jan 04, 2018
Dividend hikes in the air
Jan 04, 2018
Wealthfront secures $75 million in new funding
Jan 04, 2018
Frank Paré assumes role as FPA president
Jan 03, 2018
ETF assets boom in 2017
Jan 03, 2018
How much can buybacks rise on the tax cuts?
Jan 03, 2018
House GOP seeks to preserve spending rider to kill DOL fiduciary rule
Jan 03, 2018
AARP and NASAA launch find-an-adviser tool
Jan 03, 2018
Finra has made genuine efforts to improve
Jan 03, 2018
New tax law favors charitable giving from IRAs
Jan 03, 2018
Merrill Lynch team managing $300 million goes indie with Raymond James
Jan 03, 2018
Five financial resolutions your clients will keep
Jan 03, 2018
Boomers: Envision your business transition plan
Jan 03, 2018
The latest in financial adviser #FinTech
Jan 02, 2018
Allianz agrees to settle 401(k) fee lawsuit for $12 million
Jan 02, 2018
RIAs must move beyond investments to justify fees
Jan 02, 2018
AdvisorEngine acquires Junxure CRM
Jan 02, 2018
Time for SEC to take fiduciary baton from DOL
Jan 02, 2018
Break the sustainable-investing bottleneck
Jan 02, 2018
Alt investments on the rise among RIAs
Jan 02, 2018
What to expect on the regulatory front in 2018
Jan 02, 2018
The biggest losers and winners of 2017
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