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Site Map for April 2020
Date
Title
Apr 30, 2020
Should advisers cut fees to help clients during COVID-19?
Apr 30, 2020
Junk-bond ETFs add most assets since 2015
Apr 30, 2020
BlackRock, Voya revive a credit trade that returned double-digits
Apr 30, 2020
Strongest RIAs managed for growth during the financial crisis: TD study
Apr 30, 2020
By the Numbers: ETF flows
Apr 30, 2020
3 Questions: Paul Saganey highlights philanthropy during pandemic
Apr 30, 2020
Fiduciary rule rewrite still expected despite departure of DOL official
Apr 30, 2020
Raymond James to focus on 'virtual' recruiting
Apr 30, 2020
You probably haven’t heard of this annuity
Apr 30, 2020
Exencial Wealth Management to acquire $800 million RIA
Apr 30, 2020
Pandemic highlights importance of estate planning
Apr 30, 2020
Wealthy shielded billions with Trump tax break
Apr 29, 2020
SoFi waives ETF fees for a second year
Apr 29, 2020
Will B-Ds sidestep disaster by cutting real estate investments?
Apr 29, 2020
Americans remain confident about their retirement prospects
Apr 29, 2020
3 Questions: Adviser delivering groceries to elderly clients
Apr 29, 2020
Financial planning groups ask advisers to encourage charitable donations
Apr 29, 2020
COVID-19 will force some into early retirement
Apr 29, 2020
Financial industry groups seek SEC rule on 12b-1 fee disclosure
Apr 29, 2020
Schwab to set the bar high with virtual Impact conference
Apr 29, 2020
How COVID-19 will destroy small firms
Apr 29, 2020
LPL to acquire $1.5 billion Lucia Securities
Apr 29, 2020
Richest investors waiting for dip to buy stocks
Apr 28, 2020
Betterment Checking opens to all clients
Apr 28, 2020
Allianz Life to use eMoney Advisor
Apr 28, 2020
SEC charges California adviser with cherry-picking
Apr 28, 2020
Staying social at a distance: The next normal
Apr 28, 2020
Catch-up contributions being weighed in Congress
Apr 28, 2020
State-registered investment advisers need better cybersecurity: NASAA
Apr 28, 2020
Cetera loses more top executives
Apr 28, 2020
Private equity firm takes majority stake in Docupace
Apr 28, 2020
The Great Reset: How COVID-19 has changed us and our role as advisers
Apr 28, 2020
3 Questions: Carson Wealth organizes good news drive-by
Apr 28, 2020
TriplePlay: Creating a memorable brand
Apr 28, 2020
Benchmark your firm’s financial performance and compensation plans
Apr 28, 2020
Leveraged ETFs betting against stocks attract $5.6 billion in April
Apr 28, 2020
Interest in emergency savings accounts likely to grow post-COVID-19
Apr 28, 2020
UBS warns earnings may take a hit amid pandemic
Apr 27, 2020
New York Life to sell ETF-based alternative to annuities
Apr 27, 2020
3 Questions: David Mehlhorn on the value of good news
Apr 27, 2020
SEC orders RBC to pay $3.9 million over share-class disclosure
Apr 27, 2020
Oil ETF roils already volatile crude markets
Apr 27, 2020
Dividend income is a new minefield for financial advisers
Apr 27, 2020
Advisers see shift to planning, survey finds
Apr 27, 2020
Team managing $300 million exits Wells Fargo for LPL
Apr 27, 2020
Best Places to Work: Five HR policies that help top firms stand out
Apr 27, 2020
Tech tools tackle marketing amid COVID-19
Apr 27, 2020
Best Places to Work for Financial Advisers 2020
Apr 26, 2020
To succeed tomorrow, build a new workplace today
Apr 26, 2020
A compelling step
Apr 25, 2020
3 Questions: Rich Cancro on selling firm to Franklin Templeton
Apr 25, 2020
Undoing unwanted RMDs
Apr 24, 2020
Indie managing $415 million moves to Raymond James from LPL
Apr 24, 2020
Rutledge leaving Labor Department at end of May
Apr 24, 2020
For charitable givers, CARES Act offers big tax breaks
Apr 24, 2020
Court orders Aequitas to disgorge $453 million in fraud case
Apr 24, 2020
401(k) assets down, but savings levels up: Fidelity
Apr 24, 2020
Cetera cuts REIT sales, loses senior recruiter
Apr 24, 2020
Thrivent Financial ups efforts to put customers ahead of products
Apr 24, 2020
Texas judge shuts sham state securities regulator
Apr 24, 2020
Clients don't grasp fees, and that's bad for business
Apr 24, 2020
What's the point of an ETF that goes off script?
Apr 24, 2020
RIA M&A could pick up in the wake of coronavirus
Apr 24, 2020
House overwhelmingly passes aid bill
Apr 23, 2020
3 Questions: Brian Hamburger on adviser recruiting
Apr 23, 2020
Pandemic fallout sends consumers racing toward financial planners
Apr 23, 2020
Finra proposes one-stop shopping for background checks on advisers
Apr 23, 2020
Employers weigh cuts in plan contributions, record keepers say
Apr 23, 2020
Wells Fargo adds SECURE Act-friendly 401(k) annuity service
Apr 23, 2020
Bid to let states go bankrupt quickly nixed a decade ago
Apr 23, 2020
Dispelling CARES Act confusion
Apr 23, 2020
New ETF to focus on companies fighting biological threats
Apr 23, 2020
Another broker sues Ohio National over VA commissions
Apr 22, 2020
The CARES Act: Relief for retirement plan participants
Apr 22, 2020
Advisers should look before leaping into stimulus debt programs
Apr 22, 2020
COVID-19’s impact on DC plans may be manageable
Apr 22, 2020
SEC settles fraud charges against Ponzi-scheme participant
Apr 22, 2020
Advisers want CFP continuing education to count toward state requirements
Apr 22, 2020
VA sales up, fixed annuities down: LIMRA report
Apr 22, 2020
Forget the bear! LPL is paying recruits like it's 2019
Apr 22, 2020
By the Numbers: COVID-19 and alts
Apr 22, 2020
What does the Secure Act mean as we emerge from quarantine?
Apr 22, 2020
Social Security funding still set to run out in 2035
Apr 22, 2020
Oil spasms send foundering ETF into series of unusual steps
Apr 22, 2020
Escape hatch for workers claiming Social Security early
Apr 21, 2020
How advisers can rebuild client portfolios
Apr 21, 2020
Oil meltdown spreads beyond expiring contracts
Apr 21, 2020
TriplePlay: Embracing a specialty to build up business
Apr 21, 2020
No free lunch (not even for Tom Hanks) on IRA distributions
Apr 21, 2020
Barred adviser gets prison time for GIC Ponzi scheme
Apr 21, 2020
Putnam, Emory University settle ERISA lawsuits
Apr 21, 2020
Transamerica VA targets fee-based advisers
Apr 21, 2020
Morningstar bulks up ESG research with buyout of Sustainalytics
Apr 21, 2020
Zero-commission ETFs could spur practice changes: Cerulli
Apr 21, 2020
Coaching clients through fear
Apr 21, 2020
Managing risk in retirement: Lessons from COVID-19
Apr 21, 2020
Now’s the best time to teach kids to invest
Apr 21, 2020
Fidelity cuts fees for long-term investors
Apr 20, 2020
SEC penalizes Boston RIA $1 million over private fund marketing
Apr 20, 2020
LPL exec moves to Advisor Group
Apr 20, 2020
Finra postpones arbitrations through July 3
Apr 20, 2020
Financial industry opponents remain wary of SEC’s crackdown on share-class disclosure
Apr 20, 2020
Morgan Stanley's Gorman sees more remote work in future
Apr 20, 2020
Investment options overpriced in pharmaceutical company's 401(k) plan: lawsuit
Apr 20, 2020
Motif Investing closes
Apr 20, 2020
10 IBDs that earn the most in fees
Apr 20, 2020
Extended tax deadline: What does it mean?
Apr 20, 2020
Five ways advisers can support small-business owner clients
Apr 20, 2020
Skip earnings season and buy US stocks: Northern Trust
Apr 19, 2020
As pandemic rages on, ESG funds shine brightly
Apr 19, 2020
More must be done to bolster Americans' retirement savings
Apr 19, 2020
Keep your eyes forward
Apr 19, 2020
Virus spawns new challenge for ESG investors
Apr 17, 2020
SEC wraps up share-class initiative by settling with Merrill, two others
Apr 17, 2020
3 Questions: Larry Roth on M&A during a pandemic
Apr 17, 2020
By the Numbers: COVID-19 and Annuities
Apr 17, 2020
Merrill Lynch revises mutual fund compensation ahead of Reg BI
Apr 17, 2020
COVID-19 response reinforces value of sustainable investing
Apr 17, 2020
SEC charges suspended broker with running a $5.2 million fraud
Apr 17, 2020
Some seek SEC guidance on whether RIAs must disclose COVID-19 loans
Apr 17, 2020
How advisers can handle the medical expense of COVID-19
Apr 17, 2020
3 Questions: Kashif Ahmed describes his coronavirus recovery
Apr 17, 2020
Advisor Group latest B-D network to halt sales of real estate products
Apr 17, 2020
Vanguard limits access to the safest money market funds
Apr 17, 2020
Cantor plans hundreds of job cuts
Apr 17, 2020
Four ways advisers can help clients find opportunities amid market volatility
Apr 17, 2020
Morgan Stanley sees wealthy sticking with cash
Apr 17, 2020
Oil bulls keep piling into beaten-down ETFs
Apr 16, 2020
Fed rescue efforts force advisers to rethink asset allocation
Apr 16, 2020
BlackRock investors flee long-term funds
Apr 16, 2020
Advisers bolster online presence as coronavirus shuts down in-person meetings
Apr 16, 2020
Liberty Mutual sued over its 401(k)
Apr 16, 2020
3 Questions: What stands out about Best Places winners?
Apr 16, 2020
Schwab and Envestnet Yodlee strike deal on data sharing
Apr 16, 2020
Princeton trustees, 403(b) plan participants agree to settle
Apr 16, 2020
10 Best Places to Work among large firms
Apr 16, 2020
Advised 401(k) investors tend to stay the course: Morningstar
Apr 16, 2020
Billionaire clients at UBS keen on turnaround opportunities
Apr 16, 2020
Robinhood raising $250 million in new funds
Apr 16, 2020
Low rates topple cash yields for robo-advised clients
Apr 16, 2020
Mariner partners with Dynasty to launch platform for breakaway brokers
Apr 16, 2020
Cash-value life insurance provides a safe harbor in the current storm
Apr 15, 2020
Fed's ability to buy ETFs may ensure it never needs to
Apr 15, 2020
What’s the future for retirement plan adviser M&A?
Apr 15, 2020
Millennials hit hardest in this economy, report says
Apr 15, 2020
Coronavirus pandemic delays final New Jersey fiduciary rule
Apr 15, 2020
Merrill Lynch pulls back on adviser trainee program
Apr 15, 2020
10 companies with the longest records of raising dividends
Apr 15, 2020
Cash is king as investors flee bond funds, active equities in March
Apr 15, 2020
TD Ameritrade executive exits to join LPL
Apr 15, 2020
Gold digs in near seven-year high as ETFs swell again
Apr 15, 2020
10 Best Places to Work among midsize advice firms
Apr 15, 2020
10 predictions for financial advisers in a post-crisis world
Apr 15, 2020
By the Numbers: Mutual fund flows
Apr 15, 2020
Emergency savings: The next workplace benefit
Apr 15, 2020
IRS warns stimulus payments will attract scammers
Apr 15, 2020
Thank goodness we diversified
Apr 15, 2020
Wells Fargo reduces minimums on robo platform
Apr 14, 2020
IRI wants retirement plans at forefront of COVID-19 legislation
Apr 14, 2020
Alight, Abbott Labs sued over account breach
Apr 14, 2020
Wells Fargo earnings point to a tough 2020
Apr 14, 2020
RIAs stick with summer interns, but from a safe distance
Apr 14, 2020
TriplePlay: Finding opportunities in a crisis
Apr 14, 2020
10 Best Places to Work among small advice firms
Apr 14, 2020
UBS team managing $325 million joins Kestra
Apr 14, 2020
Fidelity plans to hire 2,000 employees to bolster service
Apr 14, 2020
How firms can increase diversity and inclusion
Apr 14, 2020
Team managing $350 million at Ameriprise switches to Raymond James
Apr 14, 2020
JPMorgan profit falls to lowest since 2013 on pandemic
Apr 13, 2020
Creative Planning's Mallouk challenges industry to protect employees
Apr 13, 2020
Morgan Stanley loses appeal of $3.3 million Finra arbitration
Apr 13, 2020
ETF investors go all-in on stimulus with $17 billion stock bet
Apr 13, 2020
Finra rule allows investors more latitude in arbitration if brokers disappear
Apr 13, 2020
As 401(k) assets fall, investors could pay higher fees
Apr 13, 2020
RIA consolidation drags during COVID-19
Apr 13, 2020
Former Wells Fargo adviser part of alleged $33 million crypto Ponzi: lawsuit
Apr 13, 2020
3 Questions: How this adviser tackled COVID-19
Apr 13, 2020
New York State fines pension risk transfer insurer $45 million
Apr 13, 2020
COVID-19 restrictions not affecting adviser service delivery, report finds
Apr 13, 2020
Client anxiety about retirement planning escalates
Apr 13, 2020
Goldman says U.S. stocks have probably bottomed
Apr 13, 2020
Deadly virus shows advisers need their own backup plan
Apr 12, 2020
Credible vs. incredible information
Apr 12, 2020
Annuities take center stage
Apr 11, 2020
3 Questions: Inside a Best Places advisory firm
Apr 11, 2020
Why I chose Buckingham
Apr 10, 2020
Nominate individuals and firms for D&I awards
Apr 10, 2020
3 Questions: Regulatory deadlines with Karen Barr
Apr 10, 2020
Finra review shows paths brokerages take to implement Reg BI
Apr 10, 2020
Fed's rescue efforts leave advisers hopeful — and confused
Apr 10, 2020
Is recruiting happening in the COVID world?
Apr 10, 2020
IRS extends more tax deadlines
Apr 10, 2020
State Street delays shaking up world’s biggest ETF
Apr 09, 2020
Finra panel awards $10.5 million to New York firm and its CEO
Apr 09, 2020
Why 401(k) fees are a mystery
Apr 09, 2020
To spur lending, SEC loosens restrictions on business development companies
Apr 09, 2020
Morgan Stanley’s Gorman: I recovered from COVID-19
Apr 09, 2020
CFPs expect uptick in clients amid COVID-19
Apr 09, 2020
Near-retirees drain TDFs at a rapid clip
Apr 09, 2020
Wealthy win, low-wage earners lose in tax filing extension
Apr 09, 2020
LPL hits the brakes on less-liquid investments
Apr 09, 2020
3 suits against JPMorgan Chase’s 401(k) plan are joined
Apr 09, 2020
Effective leadership during COVID-19
Apr 09, 2020
3 Questions: Michael Kitces on adviser fintech today
Apr 09, 2020
Fed announces up to $2.3 trillion in aid to businesses, municipalities
Apr 09, 2020
Pershing cancels annual Insite conference to be held in June
Apr 09, 2020
UBS pledges $2 billion to aid small businesses via U.S. plan
Apr 08, 2020
There's a work-from-home ETF coming
Apr 08, 2020
COVID-19 hits college savings plans
Apr 08, 2020
Finra rule would require stronger supervision of rogue brokers
Apr 08, 2020
How advisers around the world are navigating the pandemic
Apr 08, 2020
Dividend cuts shouldn't worry investors
Apr 08, 2020
In times of uncertainty, knowledge is king
Apr 08, 2020
BlackRock partners with Microsoft to bolster Aladdin platform
Apr 08, 2020
By the Numbers: COVID-19 and ESG
Apr 07, 2020
Cares Act student-loan relief has few takers
Apr 07, 2020
Brokers try to figure out what ‘good faith efforts’ mean for Reg BI implementation
Apr 07, 2020
SoFi to purchase Galileo for $1.2 billion to expand banking tech
Apr 07, 2020
Why marketing really matters now
Apr 07, 2020
TriplePlay: Communicating during quarantine
Apr 07, 2020
3 Questions: COVID-19 and ESG investing
Apr 07, 2020
Pandemic prompts some to rethink Social Security claiming strategy
Apr 07, 2020
Hybrid managing $350 million switches to LPL from Securities America
Apr 07, 2020
Millennials fled when stocks took a dive in March
Apr 07, 2020
Will financial costs of COVID-19 be greater for women?
Apr 06, 2020
Steadiness stands out in times of disruption
Apr 06, 2020
Advice groups push for tax break for fees in next stimulus package
Apr 06, 2020
Tax group fights to stop California’s auto-IRA program
Apr 06, 2020
Jamie Dimon sees ‘bad recession’ and echoes of 2008 crisis ahead
Apr 06, 2020
Virtual Bootcamp: How to safeguard clients' portfolios in times of volatility
Apr 06, 2020
SEC reaches $35 million settlement with International Investment Group
Apr 06, 2020
Seniors face increased risk for financial exploitation associated with COVID-19
Apr 06, 2020
Economic turmoil challenges FIRE followers
Apr 04, 2020
>> Get your advance copy of the new issue
Apr 04, 2020
Current crisis could damage retirement security in long run
Apr 04, 2020
By The Numbers: COVID-19 and ESG
Apr 03, 2020
IBDs face hard times in 2020
Apr 03, 2020
Private equity owners of IBDs will be tested during the downturn
Apr 03, 2020
Keeping the morale up
Apr 03, 2020
Cambridge lands $1.5 billion branch from Advisor Group
Apr 03, 2020
State regulators concerned about impact of COVID-19 on private markets
Apr 03, 2020
Massachusetts slaps Janney Montgomery Scott with $286,000 fine
Apr 03, 2020
Money funds just had their biggest month ever
Apr 03, 2020
3 Questions: COVID-19’s impact on annuities
Apr 03, 2020
Treasuries staring at negative rates after Fed's bank move
Apr 03, 2020
What advisers should be saying to clients during this black swan event
Apr 03, 2020
Virus outbreak pounds those without rainy day funds
Apr 03, 2020
What firms need to know about M&A in today's landscape
Apr 02, 2020
SEC maintains deadline for Reg BI
Apr 02, 2020
Market plunge chops pension funding by 9%
Apr 02, 2020
ETrade still a sweet fit for Morgan Stanley: Gorman
Apr 02, 2020
Navigating 2020: Pandemic lessons from Asia and Europe
Apr 02, 2020
3 Questions: Markets and music with Josh Brown
Apr 02, 2020
Texas fines LendingClub $400,000 for unregistered sales
Apr 02, 2020
Launching virtually on May 14
Apr 02, 2020
Former Morgan Stanley rep fined over expense improprieties
Apr 02, 2020
'Fired' by Trump in 2005, ex-LPL adviser is suspended by Finra
Apr 02, 2020
American Century puts nontransparent ETFs on the map
Apr 02, 2020
Finra bars former LPL rep over loan guarantees
Apr 02, 2020
Strategist Alan Skrainka joins Krilogy
Apr 02, 2020
How will smaller firms move forward in such a demanding era?
Apr 02, 2020
Allworth acquires $450 million Houston Asset Management
Apr 02, 2020
ETFs shutting down at the fastest pace since 2017
Apr 01, 2020
Court denies Raymond James’ motion to vacate $1.8 million arbitration award
Apr 01, 2020
Financial planning evolves beyond investments in a COVID-19 world
Apr 01, 2020
10 updated 2020 predictions from Bob Doll
Apr 01, 2020
401(k) provider facilitates COVID-19 withdrawals and loans
Apr 01, 2020
Big ETF inflows in Q1 worry bulls looking for signs of bottom
Apr 01, 2020
Party's over, Florida. Advisers see trouble looming in state's economy
Apr 01, 2020
Triple Play: Creating a dynamic digital marketing plan
Apr 01, 2020
Stimulus package has helpful provisions for retirees
Apr 01, 2020
Hightower takes stake in wealth consultant
Apr 01, 2020
How the COVID-19 crisis is affecting 401(k) sales
Apr 01, 2020
Here's how financial advisers can help Americans impacted by COVID-19
Apr 01, 2020
Merrill duo managing $900 million goes indie with Raymond James
Apr 01, 2020
Fed's move into corporate bonds calms ETF dislocations
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