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Site Map for August 2018
Date
Title
Aug 31, 2018
Trump to issue executive order to expand retirement savings rules for small businesses
Aug 31, 2018
SEC files fraud charges against firm for working with barred broker
Aug 31, 2018
Trump touts advantages of capital gains break, but experts aren't convinced
Aug 31, 2018
Personal Capital takes aim at retirement income
Aug 31, 2018
Advisers back Trump's directive to ease distribution rules for retirement accounts
Aug 31, 2018
Ken Fisher, famous annuity hater, invested in annuity companies
Aug 30, 2018
Here's what could happen to your taxes if Democrats regain control of Congress
Aug 30, 2018
Airports open virtual-reality, video game lounges
Aug 30, 2018
Boost Social Security Benefits: 8 Effective Strategies Revealed
Aug 30, 2018
As ESG investments boom, asset managers seek out fixed-income options
Aug 30, 2018
Ameriprise scoops up $140M family team from Wells Fargo
Aug 30, 2018
Merrill Lynch reverses policy on banning IRA commissions following death of DOL fiduciary rule
Aug 30, 2018
Latest ranking of the robos still ruffling feathers
Aug 30, 2018
Wells Fargo to combine bank and wirehouse reps under one roof
Aug 30, 2018
Nudging Congress toward Social Security reform
Aug 30, 2018
Schwab abandons plan to build multi-custodial portfolio management tool
Aug 30, 2018
Secrets Behind Success: Firms that strategically build capacity are elevating their growth trajectory
Aug 29, 2018
Mychal Kendricks, Cleveland Browns linebacker, charged with insider trading
Aug 29, 2018
Focus Financial sees 500 more RIAs as potential acquisitions
Aug 29, 2018
Using Social Security to fund paid parental leave is not the way to go
Aug 29, 2018
Advisers in a pickle over low-yielding cash sweep accounts
Aug 29, 2018
Crypto craze puts retirement savings at risk
Aug 29, 2018
LPL Financial picks up $360 million firm from First Allied Securities
Aug 29, 2018
SEC Regulation Best Interest an important step for our industry
Aug 29, 2018
Estimating the impact of early retirement on Social Security benefits
Aug 28, 2018
'Ludicrous' deal adds insult to financial injury
Aug 28, 2018
CFP Board to launch new round of ads to build public awareness of designation
Aug 28, 2018
Half a dozen Midwest advisers bolt from Waddell & Reed
Aug 28, 2018
State regulators investigating more than 200 ICOs and cryptocurrency investments
Aug 28, 2018
Is Orion building a financial planning tool?
Aug 28, 2018
Finra bars former Wells Fargo broker terminated for allegedly asking a client for a loan
Aug 28, 2018
LPL lets more advisers do fiduciary 401(k) business
Aug 28, 2018
Former hedge funder seeks to improve ESG investing
Aug 28, 2018
Equity index put writing: A strategy for uncertain markets
Aug 28, 2018
Fidelity breaks through $2 trillion in retirement assets
Aug 28, 2018
Kovack re-elected to Finra board
Aug 28, 2018
SEC orders new enforcement hearings as a result of Supreme Court ruling
Aug 28, 2018
The biggest obstacle to America's retirement security
Aug 27, 2018
Transamerica entities to pay $97 million to investors over model portfolio snafus
Aug 27, 2018
U.S. banks continue to slash exposure to muni-bonds made less valuable by tax cuts
Aug 27, 2018
New York, Connecticut taxpayers look to Plan B options to avoid SALT
Aug 27, 2018
Finding the right nudge for your clients
Aug 27, 2018
Some public employees face Social Security hurdles
Aug 27, 2018
How to offer the ideal hybrid digital adviser
Aug 24, 2018
Top private placement manager GPB to restate financial statements of certain funds
Aug 24, 2018
New York taxpayers have four-day window to try to beat SALT cap
Aug 24, 2018
Alternative minimum tax a casualty of tax reform nobody will miss
Aug 24, 2018
Adoption is the new innovation
Aug 24, 2018
Google's move into cybersecurity would be a win for advisers
Aug 24, 2018
401(k) advisers see student loan benefits as next 'evolution'
Aug 23, 2018
Fund industry limits C-share investing, cutting 12b-1 fee income for advisers
Aug 23, 2018
Retroactive Social Security benefits: Everything you need to know
Aug 23, 2018
Here are the best frequent-flyer programs
Aug 23, 2018
Can inherited IRAs be split in a divorce?
Aug 23, 2018
Senate Banking Committee approves SEC nominee Elad Roisman
Aug 23, 2018
Active managers fall further behind indexes
Aug 23, 2018
Historic bull market has advisers rethinking risk
Aug 23, 2018
New group aims to improve negative view of annuities
Aug 23, 2018
Finra arbitrators order Pennsylvania brokerage to pay client $1 million in damages
Aug 23, 2018
Here's what could happen to your taxes if Democrats regain control of Congress
Aug 23, 2018
Galvin dings North Carolina brokerage $400,000 for 'shutting its eyes' to violations
Aug 23, 2018
To delete, or not to delete: That is the social media question
Aug 23, 2018
IRS blocks New York, New Jersey plans to elude cap on SALT deduction
Aug 23, 2018
Brokers, advisers and insurance agents implicated in alleged $100 million investment fraud
Aug 23, 2018
The new knights of the roundtable
Aug 22, 2018
Mercer Advisors beefs up M&A team to target RIAs
Aug 22, 2018
SEC bars owner of investment advisory firm for misusing $2.2 million in client funds
Aug 22, 2018
Citigroup unveils plan to reverse its declining diversity
Aug 22, 2018
Client divorce splits advisers' fiduciary duty of loyalty
Aug 22, 2018
JPMorgan Chase axes about 100 asset management employees
Aug 22, 2018
SEC chairman Jay Clayton calls for end to broker sales contests
Aug 22, 2018
Raymond James lands $1 billion team from Wells Fargo Advisors in New York
Aug 22, 2018
Top Waddell & Reed team bolts to form RIA
Aug 22, 2018
What advisers think of JPMorgan's new mobile investing app
Aug 22, 2018
Advisers can use online info to learn more about prospects — but should they?
Aug 22, 2018
Why your 50-year-old clients may need you the most
Aug 22, 2018
Aretha Franklin estate echoes planning problems of Prince
Aug 21, 2018
JPMorgan offer of free trades hits discount brokerages
Aug 21, 2018
CFP Board encrypting digital certificates with blockchain technology
Aug 21, 2018
Securian loses $700 million indie to Commonwealth
Aug 21, 2018
Dollar weakens on Trump remarks about Fed interest-rate hikes
Aug 21, 2018
Sequoia Financial nears $5 billion in assets with acquisition of LJPR Financial Advisors
Aug 21, 2018
As DOL fiduciary rule dies, variable annuities come alive — sales up for first time since 2014
Aug 21, 2018
Understanding client values builds deeper relationships
Aug 21, 2018
Elizabeth Warren: Wall Street influence weakening SEC advice rule
Aug 21, 2018
Acquisition of Cetera being financed through $1 billion junk bond sale
Aug 21, 2018
SEC charges cold-caller, his firm with defrauding investors who bought penny stock
Aug 21, 2018
Secrets Behind Success: For RIAs, having the right talent requires diligence and investing in the future
Aug 20, 2018
Finra fines Interactive Brokers $5.5 million for short-sale violations
Aug 20, 2018
MML loses $400 million team to Commonwealth
Aug 20, 2018
SEC charges five unlicensed salespeople in Woodbridge Ponzi
Aug 20, 2018
Merrill team managing $325 million moves to Janney
Aug 20, 2018
Merrill team managing $235 million goes indie with Raymond James
Aug 20, 2018
SEC forces cities, states to reveal bank loans
Aug 20, 2018
Merrill pays $8.9 million SEC penalty over undisclosed conflict of interest
Aug 20, 2018
Trump complains to donors about Powell's rate hikes
Aug 20, 2018
How a hacker led to Finra censuring and fining a broker-dealer
Aug 20, 2018
Proposed SEC advice rule obscures distinctions between two business models
Aug 20, 2018
Cambridge Investment Research bags mid-sized broker-dealer
Aug 20, 2018
HighTower on prowl for new CEO, Weissbluth to become chairman
Aug 20, 2018
Women in same-sex marriages are seen needing more for retirement
Aug 20, 2018
The 4 biggest risks for U.S. equity investors
Aug 20, 2018
Retroactive Social Security benefits: Everything you need to know
Aug 18, 2018
The business case for diversity and inclusion: Is there one?
Aug 18, 2018
What's in a name? For TCA by ETrade, everything
Aug 18, 2018
DOL fiduciary rule might be dead, but its ghost hovers over the financial advice industry
Aug 18, 2018
Equity ETFs ranked by second quarter performance
Aug 18, 2018
Fixed-income ETFs ranked by second quarter performance
Aug 17, 2018
Funerals are becoming one last extravagant display of wealth
Aug 17, 2018
Trump wants SEC to look at axing quarterly earnings reports
Aug 17, 2018
LPL recruiters jump to Ameriprise bank broker
Aug 17, 2018
Money managers prep for $1.5 trillion in corporate cash
Aug 17, 2018
Claiming Social Security early has lasting impact on survivors
Aug 17, 2018
Top private placement manager GPB Capital halts sales to review accounting
Aug 17, 2018
Betterment introduces investor solution for rising interest rates
Aug 17, 2018
Bonhill Group completes acquisition of InvestmentNews
Aug 17, 2018
Broker fined, barred by SEC for cherry-picking
Aug 17, 2018
When it comes to regulating AI in financial services, murky waters are ahead
Aug 16, 2018
Cerulli to take over MMI's data platform
Aug 16, 2018
Pension plans are the new tax dodge for rich business owners
Aug 16, 2018
Wells Fargo brokers managing $179 million move to Stifel
Aug 16, 2018
Ladenburg platform to help IBDs with succession planning, acquisitions
Aug 16, 2018
Former Wells Fargo broker could face 15 years in prison for embezzlement
Aug 16, 2018
Are 401(k) adviser aggregators the new 'wirehouses' for elite retirement plan advisers?
Aug 16, 2018
As Ameriprise case shows, firms on hook when brokers go bad ​
Aug 16, 2018
Illinois governor proposes making Secure Choice retirement program optional for employers
Aug 16, 2018
Maximize Your Social Security: 8 Ways to Boost Benefits
Aug 15, 2018
Ameriprise to pay $4.5 million to settle SEC charges that five reps stole more than $1 million from clients
Aug 15, 2018
Deutsche Bank settles 401(k) self-dealing lawsuit for $21.9 million
Aug 15, 2018
Pensions are the new tax dodge, especially for rich business owners
Aug 15, 2018
Advisers home in on HENRYs overlooked by banks, retirement-plan providers
Aug 15, 2018
'Billions' star Maggie Siff touts Betterment in new ad campaign
Aug 15, 2018
Morgan Stanley's new comp plan could pinch pay for some brokers
Aug 14, 2018
Bull run that has taken U.S. equities to record highs may be nearing peak
Aug 14, 2018
Claiming Social Security early has lasting impact on survivors
Aug 14, 2018
SEC slaps Lockwood with $200,000 fine over unseen trading costs to clients
Aug 14, 2018
Fintech goes international to find top tech talent
Aug 14, 2018
Why you should still take the fiduciary high ground on 401(k) rollovers
Aug 14, 2018
Galvin goes after California broker, firm after it reaped at least $750,000 on UIT trades
Aug 14, 2018
Finra panel awards clients $5 million for churning, but from defunct brokerage
Aug 14, 2018
Wells Fargo loses $161 million team to Ameriprise
Aug 14, 2018
SEC charges two firms in municipal bond 'flipping' scheme
Aug 13, 2018
Wells Fargo tests investor patience with latest scandal
Aug 13, 2018
Hedge fund giant splits with Morgan Stanley on call on dollar peak
Aug 13, 2018
Plan sponsors shift focus away from costs
Aug 13, 2018
Bank team managing $365 million forms hybrid
Aug 13, 2018
Allianz Life joins Envestnet digital annuities marketplace
Aug 13, 2018
AssetMark to add $5.7 billion in AUM with acquisition
Aug 13, 2018
Tax-credit investigation may trip up Wells Fargo
Aug 13, 2018
Bigger isn't always better when it comes to alternative investments
Aug 13, 2018
Active money management isn't going to disappear
Aug 13, 2018
Malaysia ETF draws most cash since 2011 even as Turkey roils emerging markets
Aug 10, 2018
Trading apps expose investors to cybercriminals, report finds
Aug 10, 2018
MassMutual is considering sale of OppenheimerFunds division
Aug 10, 2018
Rob Arnott of Research Affiliates cedes CEO title
Aug 10, 2018
Trading apps expose investors to cybercriminals, report finds
Aug 10, 2018
SEC charges former UBS broker with $4 million scam
Aug 10, 2018
Ed Butowsky plans to serve Schwab with $100 million lawsuit Monday
Aug 10, 2018
SEC bars former adviser, orders him to pay $1.58 million
Aug 10, 2018
SEC bars unregistered adviser who pled guilty to securities fraud
Aug 10, 2018
Wells Fargo team managing $170 million moves to Stifel
Aug 10, 2018
SEC ponders creating video to help investors decide between investment adviser and broker
Aug 10, 2018
Technology aiding firms in adopting financial planning offerings
Aug 10, 2018
Many of the best financial jobs for women aren't on Wall Street
Aug 09, 2018
Tax changes fuel boom in Florida luxury home sales
Aug 09, 2018
Goldman sees $1 trillion in buybacks for S&P 500 this year
Aug 09, 2018
IRS provides guidance on pass-through taxes, targets loophole
Aug 09, 2018
DOL fiduciary rule death leaves 401(k) advisers in legal 'grey area' with rollovers
Aug 09, 2018
Registered reps, firms in brokerage industry decline: new Finra report
Aug 09, 2018
Are Roth conversions after 70½ advisable? 5 factors to consider
Aug 09, 2018
Bill Gross sees bond fund assets hit lowest level since November 2014
Aug 09, 2018
Custodians ponder charging RIAs asset-based fees
Aug 09, 2018
Puerto Rico sales-tax bonds soar on news of debt deal
Aug 09, 2018
Wells Fargo team managing $462 million moves to Raymond James
Aug 09, 2018
Genworth raises long-term-care insurance costs an average 58%
Aug 09, 2018
REIT management gives no answers about disastrous share price
Aug 09, 2018
Find success with an organized social media strategy
Aug 09, 2018
Social Security finances worsen as reliance on the program increases
Aug 09, 2018
Networking plays a key role in helping women advisers advance
Aug 08, 2018
Two firms overseeing $378 million affiliate with Woodbury
Aug 08, 2018
Sell-off in cryptocurrencies reaches new low
Aug 08, 2018
Private banks are the new hedge funds
Aug 08, 2018
Envestnet says advisers are opening fewer new accounts in 2018
Aug 08, 2018
IRS provides guidance on pass-through taxes, targets loophole
Aug 08, 2018
Finra bars former UBS rep for failure to provide information
Aug 08, 2018
Financial planning software lets advisers tackle student loan repayment
Aug 08, 2018
Big finance firms want in on theme ETFs
Aug 08, 2018
The rise of the female financial adviser
Aug 08, 2018
SEC charges former J.P. Turner trader with entering fake trades
Aug 07, 2018
Vanguard Personal Advisor Services leads robos in risk-adjusted returns
Aug 07, 2018
Unregistered advisers linked to latest alleged South Florida lending fraud
Aug 07, 2018
Deluge of comment letters to SEC shows usual split on raising broker standards
Aug 07, 2018
Vanguard, Fidelity, Pimco are top three fund firms among RIAs
Aug 07, 2018
Investors rekindle love affair with hedge funds
Aug 07, 2018
Wages can boost Social Security taxes, Medicare premiums
Aug 07, 2018
5 principles that set apart top-performing advisory firms
Aug 07, 2018
FAANGs are really solo acts, not a supergroup
Aug 07, 2018
SIFMA: Regulation Best Interest raises bar on investor protection
Aug 07, 2018
Enough with the surveys saying millennials need to save more for retirement
Aug 07, 2018
Michael Kitces on the fate of robos, Yelp help and recent fintech competitions, products
Aug 06, 2018
Jamie Dimon of JPMorgan Chase warns of 5% Treasury yields
Aug 06, 2018
Wells Fargo discloses accidental foreclosures, tax credit probe
Aug 06, 2018
Appeals court upholds dismissal of Wells Fargo 401(k) lawsuit
Aug 06, 2018
Citigroup reaches $6.9 million settlement in 401(k) lawsuit
Aug 06, 2018
Investors want more information about financial advisers' fees
Aug 06, 2018
SoFi said to report loss of $200 million in second quarter
Aug 06, 2018
401(k) robo Guideline tries to woo advisers with new service
Aug 06, 2018
Time or money: Which is more important?
Aug 06, 2018
Ohio brokerage tries to buck Finra settlement
Aug 06, 2018
Exonerated in defamation suits, Ed Butowsky is out for blood
Aug 06, 2018
Allison Lee most likely choice for SEC commissioner, reports say
Aug 06, 2018
Wells Fargo broker managing $150 million moves to Baird
Aug 06, 2018
Solidify client relationships in volatile times by overcommunicating
Aug 04, 2018
Why a lack of diversity among financial planners persists
Aug 04, 2018
Race is hard to talk about at work — here's how to make it easier
Aug 04, 2018
5 actions underrepresented advisers can take to further their careers
Aug 04, 2018
Viewpoints differ on diversity and inclusion, but this we agree on: There are many ways to improve
Aug 04, 2018
5 tips for productive conversations about diversity
Aug 04, 2018
Why investors should diversify more than just their assets
Aug 04, 2018
Survey: Advisers more proactive about adding diversity
Aug 03, 2018
Indexing capital gains for inflation could provide tax windfall
Aug 03, 2018
Uncover Unexpected Trends in the Social Security Earnings Test
Aug 03, 2018
Diversity trend plays out across Wall Street
Aug 03, 2018
New ETFs seek to hedge a stock market slide
Aug 03, 2018
Bitcoin trade gone bad leaves counterparties holding the bag
Aug 03, 2018
Fidelity's zero-fee funds unleash the power of free
Aug 03, 2018
U.S. regulators falling behind in supporting fintech innovation
Aug 03, 2018
Former Madoff customers argue it wasn't a Ponzi
Aug 03, 2018
American Funds offering TDFs in collective investment trusts
Aug 03, 2018
Vanguard exec: Investors should look for 'the catch' in Fidelity's no-fee funds
Aug 03, 2018
Don't shoehorn advisers into broker regulations: IAA
Aug 03, 2018
The SEC proposal does not protect Americans from 'harmful practices' by broker-dealers
Aug 02, 2018
Voya gives investors back $2 million under SEC order
Aug 02, 2018
Private equity chasing healthy returns at RIAs and broker-dealers
Aug 02, 2018
Cryptocurrency deals receive increased scrutiny by SEC
Aug 02, 2018
SEC bars former COO of advisory firm for misuse of customer funds
Aug 02, 2018
Focus Financial adds $3.5 billion Edge Capital Group to its stable
Aug 02, 2018
The SEC's opportunity to serve the best interests of investors
Aug 02, 2018
3 ways advisers should prepare for ESG conversations with 401(k) clients
Aug 02, 2018
Fidelity's zero-cost funds raise issues for 401(k) advisers
Aug 01, 2018
Fidelity resets the fee-war bar with zero-expense index funds
Aug 01, 2018
RIA firms optimistic about hiring and asset growth
Aug 01, 2018
Whistleblower claims she was fired for raising red flags about broker-dealer's alternative investments
Aug 01, 2018
Despite 20% asset growth, RIA margins declined in 2017
Aug 01, 2018
Wells Fargo to pay $2 billion settlement to end loan probe
Aug 01, 2018
Where does the proposed indexing of capital gains leave retirement accounts?
Aug 01, 2018
Tony Robbins backs venture to get gamers to save money
Aug 01, 2018
FiNet group managing $675 million becomes an RIA
Aug 01, 2018
Digital plus human equals the future of advice
Aug 01, 2018
Former dissident candidate for Finra board now runs with board imprimatur
Aug 01, 2018
Why the 'Father of the 401(k)' is both right and wrong about small plans
Aug 01, 2018
Climbing the digital mountain
Aug 01, 2018
Host the Perfect Client Event
Aug 01, 2018
Get Ready to Guide Clients Through Income Distribution
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