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Site Map for February 2018
Date
Title
Feb 28, 2018
Finra restitutions more than doubled in 2017, disciplinary actions study finds
Feb 28, 2018
Fidelity unlikely to scrap star system
Feb 28, 2018
HD Vest adds $240 million rep from Raymond James
Feb 28, 2018
Appeals court orders fiduciary breach case vs. Transamerica to be dismissed
Feb 28, 2018
Finra releases proposal to relieve broker-dealers of supervision of unaffiliated RIAs
Feb 28, 2018
Finra bars former Stephens broker for no-show at hearing
Feb 28, 2018
Smart-beta ETFs are hot for teachers
Feb 28, 2018
Treasury calculator helps taxpayers ensure accurate federal tax withholdings
Feb 28, 2018
Demographic shifts push advisory firms to rethink tech strategies
Feb 28, 2018
How low can 401(k) advisory fees go?
Feb 28, 2018
Ameriprise hit with enforcement action over expensive share classes
Feb 27, 2018
Charles Brandes steps down as chairman of investment firm
Feb 27, 2018
Advisers should spend less time with most of their clients
Feb 27, 2018
Lipper awards: Vanguard the new victor
Feb 27, 2018
Are LPL and Cetera Financial Group a potential match?
Feb 27, 2018
LPL's new broker platform clogs up late Tuesday
Feb 27, 2018
Passive becomes the new active
Feb 27, 2018
How market moves affect advisers' bottom line
Feb 27, 2018
Fiduciary advocate calls for immediate enforcement of DOL fiduciary rule
Feb 27, 2018
FSI aims for workable best-interest standard this year
Feb 27, 2018
Trouble with your millennial advisers? Here's what you did wrong
Feb 27, 2018
Full list of 2018 Lipper Fund Awards winners
Feb 26, 2018
Stocks could drop 25% if 10-year yield hits 4.5%, Goldman says
Feb 26, 2018
Morgan takes on Goldman with bullish bond call
Feb 26, 2018
Fidelity may rein in star stock pickers
Feb 26, 2018
UBS buckles to pressure over non-solicitation agreements
Feb 26, 2018
Worried about rising rates? These ETFs may offer limited value
Feb 26, 2018
Popular 403(b) resource launching directory of fiduciary advisers
Feb 26, 2018
Ex-Wells Fargo rep barred and arrested for ripping off elderly
Feb 26, 2018
LPL wraps up NPH adviser move, declines to say whether it reached revenue goal
Feb 26, 2018
Ask the Ethicist: Should a financial adviser accept an inheritance from a client?
Feb 26, 2018
Even the strongest retirement plans can be derailed by health care costs
Feb 26, 2018
Wealthfront creates in-house mutual fund to introduce risk parity strategy
Feb 26, 2018
How engaging with investor relations teams can provide insights into market opportunities
Feb 26, 2018
Cetera sale talk another distraction for advisers
Feb 26, 2018
Finra panel awards five UBS clients $521,000 in damages over Puerto Rican bonds
Feb 26, 2018
Now accepting nominations for InvestmentNews' Diversity & Inclusion Awards
Feb 24, 2018
DOL fiduciary rule enforcement won't be halted after all
Feb 24, 2018
Broker protocol: Indecision over recruiting agreement is rampant
Feb 23, 2018
AI, social media have an important place in the advice world
Feb 23, 2018
Ohio RIA with $4 billion in assets to join Focus Financial
Feb 23, 2018
Americans don't just want SUVs. They need them
Feb 23, 2018
SEC Chairman Jay Clayton outlines goals for a new fiduciary standard
Feb 23, 2018
The sunny side of rising rates
Feb 23, 2018
Lori Hardwick joins Riskalyze board
Feb 23, 2018
NYU lawsuit becomes first 403(b) fee case to go to trial
Feb 23, 2018
SEC chairman Jay Clayton says market needs 'clarity' on adviser-client relationship
Feb 23, 2018
Designing the Super OSJ of the future
Feb 23, 2018
Is the REIT sell-off over?
Feb 23, 2018
Investing in bond funds when interest rates rise
Feb 23, 2018
SEC commissioners cheer Clayton's efforts on fiduciary rule collaboration
Feb 23, 2018
Why cryptocurrency could be your worst tax nightmare
Feb 23, 2018
Cetera reportedly exploring $1.5 billion sale
Feb 22, 2018
Why offices are starting to look like forests
Feb 22, 2018
Social Security underpaid 82% of dually entitled widows and widowers
Feb 22, 2018
Merrill Lynch and rep to pay $140,000 to Vermont for unauthorized actions
Feb 22, 2018
SEC charges Strong Investment Management and owner with 'cherry-picking' trades
Feb 22, 2018
Stocks tremble, but savers cheer rising rates
Feb 22, 2018
Advisers bemoan LPL's technology platform change
Feb 22, 2018
IRI seeks Republican support for bill to expand auto-401(k) plans
Feb 22, 2018
Speculation mounts on whether others will follow UBS' latest move to prevent brokers from leaving
Feb 22, 2018
J.P. Morgan adds more than $8 billion in client assets in fourth quarter
Feb 22, 2018
Inflation is a bigger threat to stocks than rates
Feb 22, 2018
Bond dilemma requires new thinking
Feb 21, 2018
DOL fiduciary rule continues to take toll on annuity sales
Feb 21, 2018
Hub International acquires RIA with $850 million in retirement plan assets
Feb 21, 2018
Euphoric rush to invest in crypto quickly turns painful
Feb 21, 2018
Maryland jumps into fiduciary fray with legislation requiring brokers to act in best interests of clients
Feb 21, 2018
Fiduciary conduct is good for business
Feb 21, 2018
Court orders wife of Massachusetts adviser to disgorge $518,000
Feb 21, 2018
Morningstar: Fund fees continue to fall
Feb 21, 2018
Can you delegate practice management?
Feb 21, 2018
Future retirees more vulnerable to income shocks
Feb 20, 2018
U.S. 10-year poised to cross market's red line
Feb 20, 2018
Galvin's DOL fiduciary rule enforcement triggers industry plea for court decision
Feb 20, 2018
UBS Survey: Only 10-15% of investors put their cash to work during market pullback
Feb 20, 2018
Morgan Stanley says biggest hit to U.S. stock market has yet to come
Feb 20, 2018
Finra orders Hilliard, Lyons and rep to pay $445,000 in compensatory damages
Feb 20, 2018
Investors pile into cash ETF
Feb 20, 2018
Keep calm and carry on: DC participants appear to take market's volatility in stride
Feb 20, 2018
ESG and impact investing: Do you know the difference?
Feb 20, 2018
Growth in Health Savings Accounts may have stalled, says EBRI
Feb 20, 2018
Inside ETFs CEO departs for cryptocurrency venture
Feb 20, 2018
Active TDF managers push to compete on fees
Feb 20, 2018
The industrialization of asset management
Feb 20, 2018
The gold medal quality advisers can no longer ignore
Feb 17, 2018
Listen on Google Play
Feb 17, 2018
Listen on Stitcher
Feb 17, 2018
Listen on Spotify
Feb 17, 2018
Listen on Apple Podcasts
Feb 17, 2018
Advisers should take SEC up on offer to waive penalties
Feb 17, 2018
2017 largest variable annuity providers
Feb 16, 2018
Inside the $700 billion bond empire in Newark
Feb 16, 2018
Morgan Stanley dropping some overseas wealth customers
Feb 16, 2018
Tough tax season for victims of Social Security hack
Feb 16, 2018
Pimco reports Q4 earnings of $684M
Feb 16, 2018
Indexed annuities' performance may not be what you expect
Feb 16, 2018
JPMorgan's Dimon extends reign as best-paid Wall Street CEO
Feb 16, 2018
Finra issues Investor Alert warning about scams that offer Finra 'guarantees'
Feb 16, 2018
Whistleblower said to collect $30 million in JPMorgan case
Feb 16, 2018
Social Security underpaid 82% of dually entitled widows and widowers
Feb 16, 2018
State securities regulator says states can enforce DOL fiduciary rule
Feb 16, 2018
In deregulated environment, Ameriprise may be moving back into retail banking
Feb 16, 2018
What's the right number of funds in a 401(k) plan?
Feb 16, 2018
Gun violence hits investment strategies, sparks political debates with advisers
Feb 16, 2018
Sell-off grips credit funds
Feb 15, 2018
New tax law provides opportunity for tax-rate arbitrage on Roth IRAs
Feb 15, 2018
New tax law likely to make divorce negotiations more acrimonious
Feb 15, 2018
ETF alphabet soup obscures market risks
Feb 15, 2018
Muted sanctions remove spotlight from Wall Street misconduct
Feb 15, 2018
Finra bars former Lincoln Financial rep for misusing customer funds
Feb 15, 2018
Infrastructure funds aren't feeling the love yet
Feb 15, 2018
Donald Trump's tax law could worsen pain of divorce according to new survey
Feb 15, 2018
Fed seen speeding up rate hikes
Feb 15, 2018
New details into MetLife pension scandal raise questions and alarms
Feb 15, 2018
Encourage diverse individuals to be leaders
Feb 15, 2018
If Finra eases firm oversight of outside business activities, broker-dealers could lose revenue
Feb 15, 2018
RIA owners should know what their firm is worth, but many don't get valuations
Feb 15, 2018
Vanguard rolls out active-factor ETFs
Feb 15, 2018
Galvin charges Scottrade with DOL fiduciary rule violations
Feb 15, 2018
Buckingham Strategic Wealth acquires $350 million Stevens Wealth Management
Feb 15, 2018
T. Rowe Price expands partnership with Financial Engines
Feb 15, 2018
Innovative ETFs struggle to impress investors
Feb 15, 2018
KMS unit of Ladenburg appoints Erinn Ford president
Feb 14, 2018
Cybersecurity officers moving up the organizational chart
Feb 14, 2018
Volatility-tied note that crashed was meant for hedge funds: Credit Suisse CEO
Feb 14, 2018
New tax law could increase pension risk transfers
Feb 14, 2018
Adviser charged with defrauding investors out of $1 million in 26-year-old real estate fraud
Feb 14, 2018
Legislation is needed to help heirs access bitcoin accounts
Feb 14, 2018
Infrastructure funds aren't yet feeling the love
Feb 14, 2018
Why defined-contribution plan innovation is so slow
Feb 14, 2018
Life insurance 'advice' in an era of fake news
Feb 14, 2018
Flash crash: The value of advisers in coping with uncertainty
Feb 14, 2018
4 ways to build a 401(k) for baby boomers
Feb 14, 2018
Don't sell your soul for a large transition package
Feb 14, 2018
Fintech aims to digitize estate planning
Feb 14, 2018
SEC closes book on Brian Block, former Schorsch associate, with $160,000 fine
Feb 13, 2018
401(k) plan sponsors are increasingly hiring fiduciary advisers
Feb 13, 2018
Active funds shone during sell-off
Feb 13, 2018
Cetera creates 'traditional' and 'specialty' channels for its six B-Ds
Feb 13, 2018
USAA, Edward Jones, Ameriprise ranked most understandable by clients
Feb 13, 2018
Buffer annuities grow in popularity
Feb 13, 2018
New York adviser sentenced to six months for insider trading
Feb 13, 2018
Advisers working with their Valentines
Feb 13, 2018
Mercer Advisors adds $364M RIA in its third deal of 2018
Feb 13, 2018
Advisers trying to hide high-fee mutual fund share classes won't fool SEC
Feb 13, 2018
Newbridge target of investor complaints over REIT sales
Feb 13, 2018
EP Wealth Advisors acquires Millie Capital Management
Feb 13, 2018
Tough tax season for victims of Social Security hack
Feb 13, 2018
LPL rolls out robo-adviser to regional bank
Feb 12, 2018
ETF at heart of market turmoil lures record cash
Feb 12, 2018
Record $23 billion flees world's largest ETF
Feb 12, 2018
Target-date assets continue to climb
Feb 12, 2018
Inflation bogeyman looms
Feb 12, 2018
Merrill Edge adds ESG scores to client dashboard
Feb 12, 2018
Deutsche Bank Securities to pay $4.45 million over mortgage-backed securities
Feb 12, 2018
Muni money funds show signs of life
Feb 12, 2018
Morgan Stanley strategist who predicted volatility says buy now
Feb 12, 2018
Schwab: Lower minimums, uniform pricing for funds boost flows
Feb 12, 2018
SEC bars former Merrill rep Thomas J. Buck over commissions
Feb 12, 2018
SEC offers advisers amnesty to move clients out of high-fee mutual fund share classes
Feb 10, 2018
Make sure clients don't take the wrong lessons from the drop
Feb 10, 2018
Is ESG investing going mainstream?
Feb 09, 2018
Social Security accounts get hacked
Feb 09, 2018
Franklin Templeton boosts bet against Treasuries
Feb 09, 2018
Two super OSJs overseeing $3.5B affiliate with Securities America
Feb 09, 2018
Alternative funds suddenly look a whole lot better
Feb 09, 2018
Jim Rogers expects next bear market to be the worst he's seen
Feb 09, 2018
Jim Rogers expects next bear market to be the worst he's seen
Feb 09, 2018
GE's long-term-care insurance woes are symptomatic of ailing industry
Feb 09, 2018
Advisers expect candor and clarity from new Fed chairman
Feb 09, 2018
Personal Capital is the latest robo to offer SRI
Feb 09, 2018
Fidelity halts investor purchases of three volatility-focused ETFs
Feb 09, 2018
LPL censured and fined $375,000 over brokered CD record keeping
Feb 09, 2018
Despite January's run-up in stocks, investors headed to bonds
Feb 09, 2018
A podcast about podcasting to get your message out
Feb 09, 2018
InvestmentNews Research and State Street Global Advisors Release New Study, “Women in Advice: Inspiring the Next Generation of Financial Advisers”
Feb 08, 2018
Massachusetts regulator mulls greater fee disclosure
Feb 08, 2018
Captrust acquires $300-million Utah hybrid
Feb 08, 2018
Altegris merges with Artivest to create $3B alternative investments platform
Feb 08, 2018
Stocks resume slide as bond yields climb
Feb 08, 2018
As LPL buys broker-dealers, its rivals also benefit
Feb 08, 2018
Online Social Security accounts are just the first step in preventing identity theft
Feb 08, 2018
TD Ameritrade expands reach to customers via new Twitter service
Feb 08, 2018
Minnesota rep barred for no-show over VA trades
Feb 08, 2018
Retirement savers flee stocks as market slides
Feb 08, 2018
DC participants with 401(k)s and HSAs have higher savings rates for 401(k) and overall
Feb 08, 2018
Majority of high-net-worth advisers plan more direct investments, Cerulli says
Feb 08, 2018
Stocks enter correction territory amid renewed interest-rate fears
Feb 08, 2018
Finra: More than a quarter of arbitration awards go unpaid
Feb 08, 2018
Alternative funds suddenly look a whole lot better
Feb 08, 2018
Fintech looks to the future of financial advice at T3
Feb 08, 2018
Tax bill's implications for retirement planning
Feb 07, 2018
Envestnet releases mobile Tamarac tool as tech conference opens
Feb 07, 2018
Tiny vol products helped fuel market's slump
Feb 07, 2018
Wall Street's volatility time bomb
Feb 07, 2018
SEC exam priorities target fee disclosures to retail investors
Feb 07, 2018
Fidelity reveals three new big-data tech tools
Feb 07, 2018
Why the new tax law amounts to a 'stealth' tax increase
Feb 07, 2018
Raymond James helping advisers offer new retirement expertise
Feb 07, 2018
Exchange-traded notes add another layer of risk
Feb 07, 2018
Market's convulsions could signal beginning of end for bull market
Feb 07, 2018
Bill Gross fares worst among go-anywhere bond managers as stocks slide
Feb 07, 2018
New tax law offers opportunities for advisers and retirees
Feb 07, 2018
How to access the high-net-worth space
Feb 06, 2018
On a mission to motivate Latinos to save and prosper
Feb 06, 2018
Credit Suisse to redeem volatility note
Feb 06, 2018
Stock market set for more pain
Feb 06, 2018
Finra bars J.P. Morgan rep fired for improper account access
Feb 06, 2018
ETFs tied to volatility index suffer
Feb 06, 2018
Berthel Fisher censured and fined $675,000 over alts sales
Feb 06, 2018
Canadian PE firm buys Rosemont's interest in Westmount
Feb 06, 2018
Stock market sell-off: Takeaways to share with clients
Feb 06, 2018
Stock market reaction: Investment managers interpret Dow plunge
Feb 06, 2018
Financial Engines expands to small 401(k) plans with ADP partnership
Feb 06, 2018
Preaching calm, veteran advisers prepped clients for market drop
Feb 06, 2018
Market pullback presents robo-advisers with biggest test yet
Feb 06, 2018
Bitcoin bubble burst raises concerns from lawmakers, regulators about investors
Feb 06, 2018
Former Berthel Fisher rep suspended for 21 months
Feb 06, 2018
The latest in financial adviser #FinTech
Feb 06, 2018
How the biggest U.S. stock funds, ETFs fared in the market drop
Feb 05, 2018
U.S. stocks resume their sell-off
Feb 05, 2018
Most defined-contribution executives not aware of their fiduciary duties
Feb 05, 2018
Time to add commodities to client portfolios?
Feb 05, 2018
Eight brokerage firms urge CFP Board to delay new fiduciary standards
Feb 05, 2018
Pass-through provision could inspire creative tax planning
Feb 05, 2018
LPL rep managing $186 million joins Ameriprise
Feb 05, 2018
Seller of alternative investments in fight over car dealerships
Feb 05, 2018
Markets plunge: Advisers urge clients to keep calm
Feb 05, 2018
US stocks plummet for second day
Feb 05, 2018
Robo-adviser websites crashed as market slid
Feb 03, 2018
The dealmakers financing top adviser technology
Feb 03, 2018
Despite a pumped economy, Trump's approval remains low
Feb 02, 2018
Behind the scenes on the world's biggest cruise
Feb 02, 2018
Timing is crucial for Social Security and Medicare
Feb 02, 2018
The verdict is in on standing desks
Feb 02, 2018
Disclosure not the solution for a fiduciary standard, industry reps agree
Feb 02, 2018
Robos with the best and worst portfolios over the last two years
Feb 02, 2018
Vanguard fund marks down Uber shares
Feb 02, 2018
In case of Ariel v. Ariel, the little Ariel triumphs
Feb 02, 2018
Facebook changes explained: Here's what to do right now
Feb 02, 2018
Bitcoin bubble shows signs of bursting
Feb 02, 2018
UBS adviser managing $200 million moves to Alex. Brown
Feb 02, 2018
Dow tumbles 665 points in biggest plunge since 2016
Feb 02, 2018
Senate bill gives BDCs hope for increased leverage
Feb 02, 2018
Former IFS broker barred for fraudulent, private deals
Feb 01, 2018
TD Ameritrade urges advisers to adopt its next-generation Veo One platform
Feb 01, 2018
Number of RIA deals down in 2017, new report says
Feb 01, 2018
Treasury market pummeled in its worst January since 2009
Feb 01, 2018
Morgan Stanley sued for racial bias
Feb 01, 2018
Former Fed chairman Alan Greenspan sees bubbles in stocks and bonds
Feb 01, 2018
When to bring a new employee on board
Feb 01, 2018
Edelman launches initiative to get D.C. to focus on retirement security
Feb 01, 2018
LPL Financial signs up 953 NPH advisers and $34.4 billion in assets
Feb 01, 2018
Stock market's rally has room to run, Jeremy Siegel says
Feb 01, 2018
The biggest obstacles to building a billion-dollar RIA
Feb 01, 2018
Pimco views 3% 10-year yield as buying opportunity
Feb 01, 2018
Why technology transformations fail
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