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Site Map for September 2018
Date
Title
Sep 29, 2018
Is the worst over for Wells Fargo Advisors?
Sep 29, 2018
Long-term-care insurance gets a boost, but there's more to do
Sep 29, 2018
Time to get inspired by incredible advisers
Sep 28, 2018
Global cities most at risk of property bubbles
Sep 28, 2018
FPA splits with CFP Board over state regulation of financial planners
Sep 28, 2018
SEC adds cybersecurity bite to its bark
Sep 28, 2018
Merrill Lynch no longer will accept penny stock trades
Sep 28, 2018
An adviser's guide to Medicare open enrollment
Sep 28, 2018
Focus Financial acquires TAMP for $235 million
Sep 28, 2018
John Hancock testing wellness programs for long-term-care policyholders
Sep 27, 2018
These airlines offer the best in-flight Wi-Fi — if you're lucky
Sep 27, 2018
Masterworks is opening fine art investing to the masses
Sep 27, 2018
Helpful hints on working with nonprofits
Sep 27, 2018
Health-care planning presents an opportunity for advisers
Sep 27, 2018
New Jersey brokers expect industry will push back against fiduciary rule proposal
Sep 27, 2018
CFP Board asks advisers how to offer guidance on revised standards
Sep 27, 2018
House approves retirement-savings bill that eases use of annuities in workplace plans
Sep 27, 2018
Finra fines up, but restitutions plummet in first half of 2018
Sep 27, 2018
Be inspired by incredible advisers and firms' charitable efforts
Sep 27, 2018
Transition Success: 5 Keys to a Smooth Journey
Sep 26, 2018
SEC advice rule falls short on investor protection, lawmaker asserts
Sep 26, 2018
401(k) adviser reliance on provider subsidies isn't wise
Sep 26, 2018
Cash comes into focus as interest rates continue ascent
Sep 26, 2018
XY Planning Network experiences the pains of rapid growth
Sep 26, 2018
New Jersey fiduciary rule could be first of many among states post-DOL
Sep 26, 2018
SEC bars Texas adviser for cheating more than 40 investors
Sep 26, 2018
Voya pays $1 million to settle SEC charges over cybersecurity breach
Sep 26, 2018
LPL offers generous recruiting package to rivals at PE-owned broker-dealers
Sep 26, 2018
Why in the world isn't the 401(k) industry entirely digital?
Sep 26, 2018
Secrets Behind Success: How do top firms retain great talent? (Hint: It's not all about the money)
Sep 25, 2018
High times for ultra-high-net-worth families
Sep 25, 2018
DOL set to propose rule on open MEPs
Sep 25, 2018
Will Merrill Lynch leave the broker recruiting protocol?
Sep 25, 2018
Managing wealth of the world's richest is still a man's domain
Sep 25, 2018
Tips on special-needs planning
Sep 25, 2018
Trump said 'you're fired' to this adviser on TV in 2005, then LPL fired him for real in 2018
Sep 25, 2018
Finra educates examiners on broker business models to improve oversight
Sep 25, 2018
SEC charges Wells Fargo adviser with defrauding clients out of $1 million
Sep 25, 2018
New Jersey sets up rules to work around SALT deductions cap
Sep 25, 2018
Moody's expects consumer technology giants to be major disruptors in financial services
Sep 25, 2018
FSI celebrates death of DOL fiduciary rule, praises SEC advice rule
Sep 24, 2018
CFP Board opposes state regulation of financial planning process
Sep 24, 2018
BlackRock, Thomson Reuters launch new diversity and inclusion ETF
Sep 24, 2018
Goldman adviser with $1.4 billion in client assets leaves to open own firm
Sep 24, 2018
TD Ameritrade fined $500,000 for failing to report advisers' suspicious activities
Sep 24, 2018
Private Ocean grows to $2.2 billion with acquisition of Mosaic Financial
Sep 24, 2018
What advisers get wrong about investors
Sep 24, 2018
The ins and outs of pairing a 401(k) plan match with student loan repayment
Sep 24, 2018
Bank-heavy ETFs see brisk demand amid rising interest rates
Sep 22, 2018
Making diversity intentional is first step to boosting inclusion
Sep 22, 2018
Joe Duran has a game plan, and anyone can play
Sep 22, 2018
The public can be better served without state regulation of planners
Sep 22, 2018
SEC's proposed advice rule is about as clear as mud
Sep 21, 2018
Ladenburg chairman Phillip Frost steps down
Sep 21, 2018
Employer-based rainy day fund could help employees save for retirement
Sep 21, 2018
LPL video about private equity looks like a swipe at Cetera
Sep 21, 2018
Shlomo Benartzi to chair Acorns behavioral economics committee
Sep 21, 2018
Clayton declines to set timeline for final SEC advice rule
Sep 21, 2018
Invesco said to be in talks to purchase OppenheimerFunds
Sep 21, 2018
How advisers can help cancer patients tackle financial distress
Sep 20, 2018
Calls mount for investors to sell high-yield munis
Sep 20, 2018
Prime money market funds stage a comeback
Sep 20, 2018
Orthodontists aren't smiling about teeth-straightening startups
Sep 20, 2018
Wells Fargo chair denies rumors bank is seeking to replace CEO
Sep 20, 2018
Five social media cybersecurity updates you can address now
Sep 20, 2018
Insurance executives push House to add annuity provision to tax reform bill
Sep 20, 2018
Chairman should leave Ladenburg Thalmann
Sep 20, 2018
Envestnet Tamarac partners with Schwab, TD on digital account openings
Sep 20, 2018
Wells Fargo plans to cut staff up to 10% within next three years
Sep 20, 2018
Former CEO of AllianceBernstein raises $4 billion to launch fund company
Sep 20, 2018
Advisers struggle with the highs and lows of marijuana investing
Sep 20, 2018
It's past time for the wealth management industry to help the economically vulnerable
Sep 20, 2018
SEC charges $54 million Louisiana RIA and owners for cherry-picking scheme
Sep 20, 2018
Indexed annuity sales grow among wirehouses, independent broker-dealers
Sep 20, 2018
Square eyes the digital investing space
Sep 19, 2018
Investors pour money into ETF ahead of index reorganization
Sep 19, 2018
Bank of America to sell alternative operations with $20 billion to iCapital
Sep 19, 2018
Cash-strapped Americans willing to leverage homes to pay bills
Sep 19, 2018
SEC charges Michigan-based adviser in $2.7 million investment scam
Sep 19, 2018
Why advisers should market philanthropic giving to entrepreneurs
Sep 19, 2018
Universal life insurance lawsuits underscore product risk
Sep 19, 2018
All clients deserve advice that is in their best interest
Sep 19, 2018
Creative Planning fined for failure to monitor radio ads and its president's personal accounts
Sep 19, 2018
Determining if a message from Social Security is a scam
Sep 19, 2018
Betterment links its tool for advisers with outside tech provider
Sep 18, 2018
Western & Southern buys Gerber Life Insurance in $1.55 billion deal
Sep 18, 2018
Financial education to stoke wealth creation for diverse groups
Sep 18, 2018
Lawmakers want to reform rules around RMDs
Sep 18, 2018
AI for everyone: ForwardLane wants to show some love for small, midsize advisers
Sep 18, 2018
How to get investors excited about ESG ETFs
Sep 18, 2018
EF Hutton banks on cryptocurrency to fuel latest revival
Sep 18, 2018
Another veteran recruiter walks away from LPL
Sep 18, 2018
Seeking small-cap value in a momentum-driven market
Sep 17, 2018
Advisers drawing in clients with charitable approach
Sep 17, 2018
Market swings are inevitable, so help your clients focus on overall financial health
Sep 17, 2018
Advisers warn against fleeing stocks in favor of bonds
Sep 17, 2018
LPL nabs $300 million firm from Cetera Financial
Sep 17, 2018
Captrust, prominent 401(k) advice firm, ramps up its wealth management business
Sep 17, 2018
Bad things happen to good clients — and your response is critical
Sep 17, 2018
401(k) adviser disclosures need an important update
Sep 17, 2018
Better together? Why not all advisory teams are meant to go independent
Sep 17, 2018
Salesforce expects CRM to boost cross-channel referrals
Sep 15, 2018
SEC advice rule contains a huge hole
Sep 15, 2018
What's next for the SEC advice rule?
Sep 14, 2018
Do-it-yourself deals are all the rage among rich investors
Sep 14, 2018
Stocks are doing OK. Asset managers' stocks? Not so much
Sep 14, 2018
Do-it-yourself deals are all the rage among rich investors
Sep 14, 2018
Fixed annuities are on a tear
Sep 14, 2018
House committee passes open MEP bill
Sep 14, 2018
SEC penalizes RIA more than $2 million for 12b-1 violations
Sep 14, 2018
2019 Social Security cost-of-living adjustment now expected to be 2.8 percent
Sep 14, 2018
RIA charged for not disclosing commissions earned from selling risky tech stock
Sep 14, 2018
Fidelity CEO says zero-fee funds aimed at attracting new customers
Sep 13, 2018
Inaccurate info from Social Security Administration poses a challenge for widows
Sep 13, 2018
How do you spell investor relief in a bear market? E-T-F
Sep 13, 2018
Former Ameriprise broker accused of unethical conduct barred by Finra
Sep 13, 2018
Bill Gross chooses to load up on futures, generates big losses
Sep 13, 2018
States try to beat back rate increases on long-term-care policies
Sep 13, 2018
Fidelity launches two more zero-fee funds
Sep 13, 2018
LPL Financial snags $200 million team
Sep 13, 2018
House committee approves bill to ease audit requirements for small broker-dealers
Sep 13, 2018
10 years later, advisers still shudder recalling the financial crisis
Sep 13, 2018
9 lessons from the global financial crisis
Sep 13, 2018
New iPhone can end the days of carrying around two phones
Sep 12, 2018
Democrats urge SEC to strengthen broker standard in advice rule
Sep 12, 2018
Betterment clients can now buy one-time access to human financial advisers
Sep 12, 2018
Finra suspends former Merrill Lynch broker for impersonating client
Sep 12, 2018
Stifel CEO Kruszewski named chairman of American Securities Association
Sep 12, 2018
MoneyGuidePro releases fifth-generation financial planning tool
Sep 12, 2018
SEC charges New Jersey-based broker in 'cherry-picking' scheme
Sep 12, 2018
Galvin investigating 63 broker-dealers selling private placements from GPB Capital
Sep 12, 2018
Hurricane Florence will test limits of adviser contingency plans
Sep 12, 2018
No changes to compensation plan for UBS advisers in 2019
Sep 12, 2018
Disclosures in SEC advice rule confuse, mislead investors, advocacy groups say
Sep 12, 2018
Larry Roth links consulting firm with Berkshire Global Advisors
Sep 12, 2018
Inaccurate info from Social Security Administration a challenge for widows
Sep 11, 2018
BB&T fined $100,000 for failing to disclose wrap-fee conflicts
Sep 11, 2018
RMB Capital recruits $500 million team from Calamos Wealth Management
Sep 11, 2018
Cadaret Grant punished for failure to supervise brokers selling complex products
Sep 11, 2018
Raymond James nabs $203 million team from Morgan Stanley
Sep 11, 2018
Tax Reform 2.0 adds to momentum for open MEPs
Sep 11, 2018
Finra makes its first cryptocurrency bust
Sep 11, 2018
Shorthanded SEC may have to decide investment advice proposal on its own
Sep 11, 2018
Life insurance is not for saving
Sep 11, 2018
The trillion dollar club: How to be a growth superstar
Sep 11, 2018
InvestmentNews debuts impact investing documentary at the UN
Sep 11, 2018
Impact investing and what it means for financial advisers
Sep 10, 2018
SEC charges two brokers for churning that lost clients $3.6 million
Sep 10, 2018
Ladenburg chairman charged with fraud by SEC in penny stock scheme
Sep 10, 2018
Captrust adds $427 million hybrid RIA
Sep 10, 2018
Finra fines Citigroup $100,000 for overcharging clients
Sep 10, 2018
Merrill Lynch takes two avenues with annuity commissions
Sep 10, 2018
Warburg Pincus invests $33 million in new hybrid robo
Sep 10, 2018
Finra bars ex-Wells Fargo broker with 41 years in the securities industry
Sep 10, 2018
Ask the Ethicist: How should an adviser deal with a paranoid older woman?
Sep 10, 2018
Former HDVest brokers barred for not cooperating in Woodbridge investigation
Sep 10, 2018
How to keep your 401(k) clients out of court
Sep 10, 2018
The struggle is real: Why our profession needs next-gen talent now
Sep 10, 2018
A market sell-off could mean more 401(k) lawsuits
Sep 08, 2018
Slow down! Lessons from a flash crash
Sep 07, 2018
Alternative minimum tax is a casualty of tax reform nobody will miss
Sep 07, 2018
Expatriates see 46 countries where they'd rather live in than the U.S.
Sep 07, 2018
Fleming's Rockefeller Capital may buy into Silicon Valley wealth firm
Sep 07, 2018
Claiming Social Security early has lasting impact on survivors
Sep 07, 2018
Galvin orders SII to pay restitution on nontraded REIT sales
Sep 07, 2018
Ohio National, a big variable annuity provider, exits the annuity business
Sep 07, 2018
TD Ameritrade adds socially aware portfolios to retail robo adviser
Sep 07, 2018
Star broker, now at Morgan Stanley, alleges sexual discrimination at UBS
Sep 07, 2018
Last chance to undo a Roth conversion
Sep 07, 2018
Finra bars ex-JP Morgan broker being investigated for failing to report liens and judgments
Sep 07, 2018
Finra fines Securities America $175,000 for failure to supervise variable annuity sales
Sep 07, 2018
Active fixed-income management makes sense now more than ever
Sep 06, 2018
Former Morgan Stanley broker to plead guilty to insider trading
Sep 06, 2018
Oranj utilizes summer interns to build Redtail integration
Sep 06, 2018
Wells Fargo said to face Justice Department probe of wholesale banking unit
Sep 06, 2018
Structured ETFs offer fresh twist on popular variable annuity strategy
Sep 06, 2018
William Galvin wins again in Massachusetts
Sep 06, 2018
Turns out commissions are OK at Commonwealth Financial, JPMorgan, Merrill Lynch
Sep 06, 2018
Ex-Wells Fargo broker suspended for coaching client to lie about excessive commissions
Sep 06, 2018
SEC-registered advisers continue riding the fee-based wave
Sep 06, 2018
Legislation affecting advisers may fall victim to tight Capitol Hill calendar
Sep 06, 2018
How to adapt efficiently to industry trends
Sep 06, 2018
Mutual fund fee wars will encourage bad behavior
Sep 06, 2018
Trump administration hypocrisy on retirement security
Sep 05, 2018
Popularity of collateralized loan obligations widens thanks to demand from rich
Sep 05, 2018
DOL fiduciary rule caused $14 billion in stock losses for investment firms: report
Sep 05, 2018
In latest A-share discount snafu, broker-dealer pays $1.37 million to clients
Sep 05, 2018
Merrill Lynch can't reverse progress on eliminating conflicts of interest
Sep 05, 2018
Elad Roisman confirmed by Senate for SEC seat
Sep 05, 2018
Financial adviser pleads guilty in NCAA basketball corruption case
Sep 05, 2018
Finra bars two brokers, including one with nearly 40 years in the industry
Sep 05, 2018
Michael Kitces: The Latest In Financial Adviser FinTech — September 2018
Sep 04, 2018
House Republicans hit pause button on tax-reform legislation
Sep 04, 2018
Live Oak Bank starts its own RIA
Sep 04, 2018
JPMorgan Chase reaches settlement in race case
Sep 04, 2018
Securities America snags $650 million hybrid from LPL
Sep 04, 2018
Millionaire boom in Asia pushes highest rate hike in decade for wealth managers
Sep 04, 2018
Fidelity sees two zero-fee index funds rake in almost $1 billion in first month
Sep 04, 2018
Massachusetts Financial Services fined $1.9 million by SEC for false advertisement
Sep 04, 2018
Open MEPs would be game-changer for 401(k) advisers
Sep 04, 2018
Under a cloud at Merrill Lynch, two brokers find new home at giant hybrid
Sep 04, 2018
Stifel lands financial advisers from UBS, Merrill Lynch, Wells Fargo Advisors
Sep 04, 2018
With history as a guide, September puts advisers on notice
Sep 04, 2018
Janney lands $445 million team from Wells Fargo Advisors
Sep 04, 2018
Three disruptions reshaping fixed-income markets
Sep 04, 2018
Apex will soon custody cryptocurrency assets
Sep 01, 2018
403(b) sponsors finding success beating back lawsuits
Sep 01, 2018
Retirement plans see rise in cyberattacks
Sep 01, 2018
Consolidation of record keepers for 401(k) plans 'worrisome'
Sep 01, 2018
Drawing down assets from a portfolio need not be tough
Sep 01, 2018
Are schools adequately preparing next-gen advisers?
Sep 01, 2018
Few colleges offer a financial planning program
Sep 01, 2018
HSAs functioning more as 401(k)s
Sep 01, 2018
Ideal curriculum for financial planning students
Sep 01, 2018
Many young staffers have benefits needs beyond a simple 401(k)
Sep 01, 2018
The case for clean shares in retirement plans
Sep 01, 2018
Education Planning: A Look at the Numbers
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