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Site Map for July 2018
Date
Title
Jul 31, 2018
Merger and acquisition activity drops dramatically in the second quarter
Jul 31, 2018
Vitesse Media to buy InvestmentNews in $27.1M deal
Jul 31, 2018
New tax rules strike fear into U.S. expat business owners
Jul 31, 2018
Morgan Stanley: Correction worse than February looming
Jul 31, 2018
Indexing capital gains for inflation would be tax windfall for clients
Jul 31, 2018
Fidelity seeks injunction against rep who oversaw $2.7 billion
Jul 31, 2018
Brokerages unnerved by parts of SEC advice rule that echo DOL fiduciary rule
Jul 31, 2018
Waddell & Reed continues to shed brokers, though productivity rises
Jul 31, 2018
Four Wells Fargo reps managing $550 million go indie with Raymond James
Jul 31, 2018
Treasury recommends lighter regulatory touch for fintech companies
Jul 31, 2018
NYU beats back Jerry Schlichter and 403(b) lawsuit
Jul 31, 2018
7 Surprising Facts About the Social Security Earnings Test
Jul 30, 2018
Millennial heirs go to summer camp
Jul 30, 2018
Wall Street fears new international tax
Jul 30, 2018
Eight-person team managing $930 million leaves Merrill Lynch
Jul 30, 2018
Finra asking firms for comments on fintech innovation
Jul 30, 2018
Adviser compensation involves a conflict that can be managed — but not avoided
Jul 30, 2018
Tech bloodletting approaches $300 billion
Jul 30, 2018
Schorsch REIT listing a billion-dollar disaster for investors
Jul 30, 2018
LPL CEO Dan Arnold acknowledges mistakes in firm's technology rollout
Jul 30, 2018
Morgan Stanley unveils compensation plan changes for 2019
Jul 30, 2018
A new tax break for impact investing has arrived
Jul 30, 2018
IRS provides guidance on 529 plans
Jul 27, 2018
LPL not selling Worksite Financial Solutions 401(k) platform
Jul 27, 2018
Americans have been saving much more than thought, new data show
Jul 27, 2018
DOL fiduciary rule can cause litigation risk from beyond the grave
Jul 27, 2018
SEC freezes assets of group charged with $55 million Ponzi scheme
Jul 27, 2018
LPL looks to cash in on in-house advisory assets
Jul 27, 2018
Cash management platform gains appeal among advisers amid rising interest rates and frothy markets
Jul 27, 2018
Is it better to meet with clients in person or online?
Jul 26, 2018
Move to Florida to pay zero state personal income tax? Fuhgeddaboudit!
Jul 26, 2018
Investing in fine wine is producing ever-greater returns
Jul 26, 2018
Focus Financial IPO falls short of expectations
Jul 26, 2018
Cash floods into muni bond funds
Jul 26, 2018
How to get to Inbox Zero
Jul 26, 2018
Invesco joins the do-it-yourself indexing trend
Jul 26, 2018
It's 2018. Social media is no longer optional
Jul 26, 2018
Finra consolidates enforcement program in hopes of delivering consistency, transparency
Jul 26, 2018
As adviser headcount rises at Raymond James, so does the cost of recruiting
Jul 26, 2018
LPL brokers can now use SS&C Advent's Black Diamond
Jul 26, 2018
61 is the 'magic' age when it comes to retirement
Jul 26, 2018
Industry group asks DOL for guidance on finding missing participants
Jul 26, 2018
UBS laying off dozens of wealth management staff
Jul 25, 2018
Appeals court says university cannot force ERISA lawsuits into arbitration
Jul 25, 2018
New GOP tax-cut framework would make individual cuts permanent
Jul 25, 2018
In wake of tax reform, muni bond market gains footing
Jul 25, 2018
Wealthfront wants to help millennials take a sabbatical
Jul 25, 2018
Cybersecurity remains top RIA compliance concern
Jul 25, 2018
Finra whacks Advisor Group, NPH with $2.7 million in fines over variable annuity sales
Jul 25, 2018
Ameriprise to switch CRM for nearly 10,000 advisers in 2019
Jul 25, 2018
Millennials err on the side of caution when it comes to investing
Jul 25, 2018
Ladenburg bets advisers will serve more self-employed clients in the future
Jul 25, 2018
FPA tries to move on from messy divorce with New York chapter
Jul 25, 2018
Systems glitch sends erroneous text messages to some Vanguard customers
Jul 25, 2018
SEC bars Washington State RIA for selling unregistered promissory notes
Jul 25, 2018
With money on their minds, Generation Z is ready to invest
Jul 25, 2018
Working longer is best way to boost retirement income
Jul 24, 2018
Move to Florida to pay zero state personal tax? Fuggedaboutit!
Jul 24, 2018
Goldman fires salesman charged twice with attacking women
Jul 24, 2018
Judge dismisses suit against AT&T plan
Jul 24, 2018
Wealth Enhancement Group adds $350 million planning firm in Florida
Jul 24, 2018
New focus on workers who don't take a full match
Jul 24, 2018
LPL integrates Riskalyze with ClientWorks
Jul 24, 2018
Galvin calls out broker who claims he never had a customer complaint
Jul 24, 2018
Annuity rule likely won't include a fiduciary standard, NAIC says
Jul 24, 2018
Judge dismisses amended complaint in Wells Fargo stock-drop case
Jul 24, 2018
UBS wealth management profits up 16% in latest quarter
Jul 24, 2018
Student loan rates contribute to increased college burden
Jul 24, 2018
SEC nominee Roisman stresses disclosure, helping investors understand adviser relationship
Jul 24, 2018
Amazon could be in prime place to shake up asset management industry
Jul 24, 2018
Why advisers are turning to Facebook ads to fill seminar seats
Jul 24, 2018
Back office should be top of mind for growing advisory firms
Jul 24, 2018
TD Ameritrade latest brokerage refusing to lead in cutting ETF commissions
Jul 24, 2018
Intriguing snapshot of HSA users
Jul 23, 2018
Fidelity, Empower to keep fiduciary services for 401(k) plan participants
Jul 23, 2018
SEC charges Beverly Hills RIA with keeping $131,000 in unearned fees
Jul 23, 2018
In wake of tax reform, muni bond market gains footing
Jul 23, 2018
Captrust adds $1 billion RIA in Virginia
Jul 23, 2018
Pimco top portfolio risk manager gone after investigation into inappropriate touching
Jul 23, 2018
Democrats criticize SEC advice rule, push for fiduciary standard
Jul 23, 2018
How advisers can ride the 'wave of opportunity' of aging clients
Jul 21, 2018
The power of philanthropy shifts to women, and advisers are taking notice
Jul 21, 2018
Adviser education key to solving 'ESG paradox'
Jul 21, 2018
Designations matter to your clients
Jul 21, 2018
How advice is changing
Jul 20, 2018
SEC charges Cape Cod RIA with $3 million fraud
Jul 20, 2018
Wells Fargo takes $8.7 million arbitration hit over Puerto Rican bonds
Jul 20, 2018
Fidelity asks Arizona court for injunction against two brokers
Jul 20, 2018
401(k) advisory firms with custom TDFs offer pain, solace to asset managers
Jul 20, 2018
Commission-free ETFs will become the norm, Schwab CEO says
Jul 20, 2018
Democratic senators want Finra to weigh in on SEC advice rule
Jul 20, 2018
Carson Group takes equity stake in $1.1 billion Pinnacle Financial Group
Jul 20, 2018
Cetera brokers may go elsewhere with no stay bonuses on horizon
Jul 19, 2018
Checking one off the bucket list
Jul 19, 2018
How not to handle your lottery jackpot
Jul 19, 2018
The regulatory hole around ETFs gets SEC scrutiny
Jul 19, 2018
Variety of tax benefits help offset the cost of college
Jul 19, 2018
Cetera Financial Group brokers taking wait-and-see attitude on sale
Jul 19, 2018
State Street uses AI to provide a newsfeed relevant to portfolio holdings
Jul 19, 2018
Philanthropy a growing part of advisory relationship
Jul 19, 2018
Fiduciary Network posts a 'for sale' sign
Jul 19, 2018
Will Wells Fargo Advisors force brokers to become salesmen only?
Jul 19, 2018
The SEC knows what's best
Jul 19, 2018
No 'stay bonuses' for Cetera Financial Group reps
Jul 19, 2018
Behind closed doors: The big problem with how the SEC is getting insights from investors
Jul 18, 2018
Former Morgan Stanley rep who took $450,000 from clients barred by SEC
Jul 18, 2018
Advisers hold key to financial security
Jul 18, 2018
William Galvin: Infinex Investments fined $125,000
Jul 18, 2018
Pershing draws inspiration from consumer apps to drive RIA tech strategy
Jul 18, 2018
Socially responsible ETFs now come with a twist
Jul 18, 2018
Morgan Stanley CEO is happy that brokers are staying put
Jul 18, 2018
SEC charges RIA and CEO with putting $19 million of client money into risky investments
Jul 18, 2018
Target-date funds don't hit the retirement bull's-eye
Jul 18, 2018
New York issues final best-interest regulation for annuity, life insurance sales
Jul 18, 2018
Fidelity backs away from being 'point in time' fiduciary for 401(k) plans
Jul 17, 2018
Social Security scam alert
Jul 17, 2018
JPMorgan ups its ETF game
Jul 17, 2018
States sue over federal cap on tax deductions
Jul 17, 2018
Record 48 RIA mergers and acquisitions took place in Q2
Jul 17, 2018
Cetera Financial Group close to announcing its acquisition by private equity
Jul 17, 2018
SEC censures BGC Financial, imposes $1.25 million penalty over records
Jul 17, 2018
Focus Financial raises goal for IPO to $600 million
Jul 17, 2018
RIA 'Shark Tank' backs a digital adviser out of the gate
Jul 17, 2018
Former broker receives extra jail time for defrauding own mother
Jul 17, 2018
Fidelity adds more financial planning to its 401(k) managed accounts
Jul 17, 2018
Genstar Capital buys majority stake in Cetera Financial Group
Jul 17, 2018
Bills to reform adviser regulation, increase sophisticated investors and protect seniors pass House
Jul 17, 2018
Capital Group, sponsor of American Funds, launches savings accounts to help with disability costs
Jul 17, 2018
Retirement savings proposals introduced in Senate, under discussion in the House
Jul 17, 2018
Small businesses face a big retirement challenge
Jul 17, 2018
Beware 401(k) robo-fiduciaries – especially the human ones
Jul 17, 2018
Getting to scale — the virtual solution
Jul 17, 2018
An advisor's guide to engaging the modern family
Jul 16, 2018
CFA Institute adding crypto, blockchain to curriculum
Jul 16, 2018
Frenzy to get bitcoin ETF is clogging SEC email
Jul 16, 2018
BlackRock sees outflows from equity products
Jul 16, 2018
Can inherited IRAs be split in a divorce?
Jul 16, 2018
Finalists announced for 12th annual Invest in Others Awards
Jul 16, 2018
Clients have zero interest in crypto, BlackRock CEO says
Jul 16, 2018
TD Ameritrade launches fintech competition with $100,000 in prizes
Jul 16, 2018
$1 billion in assets? For some RIAs, it's not as good as it sounds
Jul 16, 2018
Alphabet soup is hot, and clients will pay more for those letters
Jul 16, 2018
Merrill Lynch: Compensation plan paying off in new business
Jul 16, 2018
Advisers applaud House bills to expand health savings accounts
Jul 16, 2018
Writing on the wall for direct-to-consumer robo startups
Jul 16, 2018
Headwinds Turn to Tailwinds for Real Assets
Jul 13, 2018
Former Stifel broker barred for taking $205,000 from a client
Jul 13, 2018
Former manager for New York pension fund sentenced to 21 months for taking bribes for brokers
Jul 13, 2018
Market recap: Investors flee equities despite market strength
Jul 13, 2018
Wells Fargo Advisors continues to see a decline in brokers
Jul 13, 2018
LPL loses custody business of RIA managing $1.3 billion
Jul 13, 2018
Emerging markets have yet to reach bottom
Jul 13, 2018
Broker accused of churning barred by Finra
Jul 13, 2018
Facebook data privacy issue already identified by ESG investment screens
Jul 13, 2018
Prospect of high cash distribution has investors chasing dividends through ETFs
Jul 13, 2018
803 small broker-dealers push for legislation to ease audits
Jul 12, 2018
Stocks rally as trade war nerves settle
Jul 12, 2018
Average client assets top $2 million for first time
Jul 12, 2018
Empowering female clients requires they talk about this
Jul 12, 2018
Automatic enrollment in small-business plans is working
Jul 12, 2018
Fidelity offering model portfolios
Jul 12, 2018
UBS report reveals most expensive cities in the world
Jul 12, 2018
State-level activity slows on fiduciary legislation
Jul 12, 2018
What the fastest growing RIAs have in common
Jul 12, 2018
Morningstar to replace funds in its managed portfolios with nine of its own
Jul 12, 2018
Women to lead CFA Institute board
Jul 12, 2018
Are nontraded REIT sales back from the dead?
Jul 11, 2018
Tax loophole from 1960s could let wealthy tap 21% corporate rate
Jul 11, 2018
Retirees spend their golden years on campus
Jul 11, 2018
Tax loophole from 1960s could let wealthy tap 21% corporate rate
Jul 11, 2018
Eight advisers managing $616 million join Benjamin Edwards
Jul 11, 2018
Investors wait for financial statements from leading seller of alternative investments
Jul 11, 2018
SEC censures, fines advisers for Yelp endorsements
Jul 11, 2018
Trump gives federal agencies power to hire in-house judges
Jul 11, 2018
House panel approves bills to adjust regulations for small RIAs, protect senior investors
Jul 11, 2018
Looking for a competitive edge? Embrace diversity
Jul 11, 2018
Merrill Lynch launches fiduciary dashboard for advisers
Jul 11, 2018
Fired Merrill Lynch star broker Bruce Lee starts own RIA
Jul 10, 2018
District judge sets deadline in DOL fiduciary rule case
Jul 10, 2018
Goldman pushes deal-makers to land wealth management clients
Jul 10, 2018
Finra censures Cetera for lax supervision of brokers' outside activities
Jul 10, 2018
MassMutual offers active target-date funds managed by T. Rowe Price
Jul 10, 2018
House introduces bill targeting elder financial abuse
Jul 10, 2018
Complect wants to make outsourcing compliance easier and more affordable
Jul 10, 2018
Efforts to help gig economy workers save for retirement gaining ground
Jul 10, 2018
Bill Gross's bond fund sees $580 million of outflows in first half
Jul 10, 2018
Supreme Court nominee Brett Kavanaugh voted to strike down 'Merrill Rule'
Jul 10, 2018
Recency bias: A big risk to your clients this summer
Jul 10, 2018
Bill could ease regulatory burden on small investment advisory firms
Jul 10, 2018
Improved health outcomes can boost retirement savings
Jul 10, 2018
What's new in today's move to independence
Jul 09, 2018
Trade war fueling bond rally
Jul 09, 2018
Companies start paying employee student loan debt
Jul 09, 2018
Wells Fargo team managing $177 million joins Janney
Jul 09, 2018
Michael Duffy and Happiness Wealth Management join LPL Financial
Jul 09, 2018
SEC bars ex-LPL rep over variable annuity sales
Jul 09, 2018
Bond market portends end of boom times
Jul 09, 2018
Barclays joins Morgan Stanley in questioning small-cap rally
Jul 09, 2018
Judge dismisses stock-drop suit against Allergan
Jul 09, 2018
Georgia decision on broker protocol could have wide impact
Jul 09, 2018
Best-performing sectors this earnings season most at risk from trade war
Jul 07, 2018
Finra's disclosure on use of fine money a good first step to more transparency
Jul 07, 2018
Adviser serves Hispanic clientèle in Puerto Rico and the mainland
Jul 07, 2018
Fidelity lawsuit highlights firms' vulnerability
Jul 07, 2018
New tools to protect elderly from fraud, exploitation
Jul 06, 2018
Where to stash your cash as tariffs kick in
Jul 06, 2018
Midsize asset managers face a squeeze
Jul 06, 2018
Finra arbitrator awards $1.5 million in damages to oil and gas investor
Jul 06, 2018
Open-plan offices are making workers less social
Jul 06, 2018
Even after SEC's additional guidance, custody remains complicated rule for investment advisers
Jul 06, 2018
Vanguard isn't taking in as much money; neither is anyone else
Jul 06, 2018
Texas REITs to pay $8.2 million for misleading investors
Jul 06, 2018
More about death and taxes
Jul 05, 2018
Former Bank of America employee files Finra arbitration claim
Jul 05, 2018
The newest alternative asset: Classic cars
Jul 05, 2018
Earnings season is approaching, but all stocks care about is a trade war
Jul 05, 2018
Advisers warming up to AI
Jul 05, 2018
Finra set to strengthen background checks for new registered rep hires
Jul 05, 2018
Goldman Sachs poses new threat to active mutual fund managers
Jul 05, 2018
Why advisers need to be both effective and efficient
Jul 05, 2018
Credit Suisse to pay $77M to settle bribery probes
Jul 05, 2018
New ways to estimate and fund long-term care costs
Jul 05, 2018
Fee pressure driving asset managers into wealth management
Jul 05, 2018
Muni closed-end funds may be ripe for tax-loss sales
Jul 05, 2018
The Life Insurance Agent as Financial Planner
Jul 03, 2018
SEI has new approach to improve technology adoption by advisers
Jul 03, 2018
Better Markets blasts Finra's proposal to strengthen supervision of high-risk brokers as too weak
Jul 03, 2018
What older people should consider when starting a business
Jul 03, 2018
State court ruling on broker protocol could greatly affect job seekers
Jul 03, 2018
Trade war could harm Americans' retirement savings
Jul 03, 2018
SEC charges Virginia firm with $5 million Ponzi scheme
Jul 03, 2018
Divorced women declare financial independence
Jul 02, 2018
Strategists see a blowout second half
Jul 02, 2018
Trade fight puts ETF investors on the defensive
Jul 02, 2018
Vanguard expands commission-free trading to 1,800 ETFs
Jul 02, 2018
Wirehouses using digital advice technology to boost cross-selling
Jul 02, 2018
SEC censures, bars and penalizes RIA for misappropriation of more than $121,000
Jul 02, 2018
Galvin: 10 broker-dealers to be scrutinized
Jul 02, 2018
New digital Fidelity platform will let consulting firms bid for adviser projects
Jul 02, 2018
Guggenheim accused of using cash from annuity unit to fund CEO's purchase of LA Dodgers
Jul 02, 2018
Charles Schwab says it settled SEC suit on reporting failures
Jul 02, 2018
The problem with goals
Jul 02, 2018
Michael Kitces: The Latest In Financial Advisor FinTech — July 2018
Jul 02, 2018
The sad but important truth about taxable bonds and AUM
Jul 01, 2018
2018 Midyear Update
Jul 01, 2018
Why You Need an Active Social Media Presence
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