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Site Map for May 2020
Date
Title
May 31, 2020
Upholding the spirit of new legislation
May 31, 2020
A contemplation of Regulation BI
May 31, 2020
State best interest annuity rule begins journey to become law
May 31, 2020
The sound of silence
May 29, 2020
Stock ETNs dominated by Ken Fisher see big outflows
May 29, 2020
CFP Board reforms enforcement procedures to align with new ethics code
May 29, 2020
Advisers are taking PPP loans for future needs as uncertainty lingers
May 29, 2020
Battle lines drawn over RIAs taking PPP loans
May 29, 2020
Oil ETF faces U.S. probes over disclosures
May 29, 2020
Schadle steps down as FPA CEO
May 29, 2020
4 unusual IRA issues related to deaths in 2020
May 29, 2020
BlackRock attracts asset managers, wealth funds as PNC exits
May 29, 2020
Fed holdings of bond ETFs now total $2.98 billion
May 28, 2020
Crisis can be a catalyst to clarify goals, create sustainable impact
May 28, 2020
Finra orders Stifel to pay $3.6 million for violations in sales of unit investment trusts
May 28, 2020
Schorsch REIT executive Brian Block heading to prison
May 28, 2020
Goldman Sachs delays robo-adviser launch until 2021
May 28, 2020
Legg Mason affiliate launches semitransparent ETF
May 28, 2020
Medicare enrollment complicated by the pandemic
May 28, 2020
New York gold traders stuck with glut
May 28, 2020
The lockdown has been good for automated advice
May 27, 2020
Emigrant takes stake in Pure Financial Partners
May 27, 2020
LPL picking up another small broker-dealer
May 27, 2020
COVID-19 amplifies winners and losers in private real estate
May 27, 2020
BlackRock to mix target-dates and annuities
May 27, 2020
Pandemic recovery offers opportunity to press deregulation
May 27, 2020
Assets in 529 plans hit record, then shrink
May 27, 2020
Galvin smacks GPB with fraud charge
May 27, 2020
Two firms post boffo adviser gains in first quarter
May 27, 2020
Valuations are going to get a lot cheaper
May 27, 2020
401(k) data-sharing one step closer, thanks to Spark and DCIIA
May 27, 2020
Marital lockdown: Divorce, finances and COVID-19
May 27, 2020
Homebuilder ETF rallies on sales surprise
May 26, 2020
Woman in Central Park video fired by Franklin Templeton
May 26, 2020
Benchmark your firm’s performance before Friday, June 12
May 26, 2020
Finra changes membership process to curb the ability to sidestep arbitration awards
May 26, 2020
MEPs costlier than similarly sized 401(k)s: Study
May 26, 2020
UBS team managing $330 million forms RIA
May 26, 2020
Daniel Wiener shames fee-based advisers for taking COVID-19 stimulus money
May 26, 2020
Do you care about the mass affluent?
May 26, 2020
CFP Board revamps its rules to allow video hearings
May 26, 2020
UBS launches venture capital fund to digitize bank
May 26, 2020
AI is smart but so are customers
May 24, 2020
Small firms face greater cyber risks amid pandemic
May 23, 2020
Good News: Advisers offering services to California community
May 23, 2020
Good News: Advice industry raising funds to deliver financial planning to families
May 23, 2020
Good News: Organizing juice box happy hours for young students
May 23, 2020
Good News: Advisers band together to help disabled individuals in Alabama
May 23, 2020
Her Success Matters: Cheryl Nash
May 23, 2020
Her Mentorship Matters: Offering encouragement can provide a young woman the confidence she needs to succeed
May 23, 2020
The race to embrace fintech
May 23, 2020
Tech spending on digital marketing is just the first step
May 23, 2020
Open your mind to tech success
May 23, 2020
Gold ETF benefits from its London vault
May 22, 2020
Why this wealth manager decided to become a B Corporation
May 22, 2020
Roth conversions pick up amid expectations that taxes will rise
May 22, 2020
Demand for some annuities rising in COVID-19 market
May 22, 2020
SEC shuts Riverside, Calif., RIA running a Ponzi scheme
May 22, 2020
Fund managers on what helped ESG outperform during pandemic
May 22, 2020
Helping couples who are experiencing financial discord
May 22, 2020
Giant fund companies are upbeat on stocks
May 21, 2020
Fed bought $1.8 billion of bond ETFs to date
May 21, 2020
Only half Morgan Stanley staff will be back by year-end: CEO
May 21, 2020
Industry arbitration claims spike as coronavirus disruptions continue
May 21, 2020
How the Michigan floods hit one financial adviser
May 21, 2020
Finra bars no-show former Wells FiNet broker
May 21, 2020
Smarsh acquires maker of cybersecurity tools
May 21, 2020
Tuning in to tele-advice
May 21, 2020
Troubles of giant oil ETF raise questions about commodity funds
May 21, 2020
Schwab's Portfolio Connect tops 1,000 users, still trails competitors
May 20, 2020
Twitter war erupts as Dave Ramsey defends timeshare exit endorsement
May 20, 2020
Fidelity doles out perks to high-net-worth clients
May 20, 2020
Remote work opens new possibilities for our industry
May 20, 2020
Vanguard's $50 billion woman outperformed amid bond market chaos
May 20, 2020
$400 million bank program shifts to LPL
May 19, 2020
COVID-19 eroding retirement hopes: Survey
May 19, 2020
Time for Dave Ramsey to check out of this timeshare exit endorsement
May 19, 2020
Retiring at 65 may still be the norm, despite Social Security changes
May 19, 2020
$650 million team exits Morgan Stanley for RBC
May 19, 2020
The power of pivotal moments
May 19, 2020
How a 2019 breakaway is navigating the crisis
May 19, 2020
Social Security has a quick cash solution
May 19, 2020
Congress pressed to mandate higher giving amid crisis
May 19, 2020
JPMorgan shutting down ETFs that use hedge fund strategies
May 18, 2020
Robinhood, ETrade have resolved tech issues
May 18, 2020
The latest in financial adviser fintech — May 2020
May 18, 2020
Morningstar opts for virtual annual conference
May 18, 2020
Trade group sues SEC to stop collection of retail investor data
May 18, 2020
401(k) plans value advisers most for investment returns: Fidelity survey
May 18, 2020
Despite market rebound, equity funds saw net outflows in April
May 18, 2020
Team managing $305 million exits Wells Fargo for LPL
May 18, 2020
Social distancing experience illustrates retirement challenges
May 18, 2020
Wells Fargo's market value is down $220 billion since Fed cap
May 17, 2020
Virtual Attraction
May 17, 2020
Finding your higher calling in a crisis
May 17, 2020
Two steps forward
May 15, 2020
3 Questions: Investing in firms that help those most hurt by pandemic
May 15, 2020
3 Questions: Riskalyze engineer helping with his 3D printer
May 15, 2020
SEC should accelerate its late leap to electronic delivery
May 15, 2020
Funding a Roth IRA with COVID-19 distributions? Not so fast, advisers say
May 15, 2020
Investment giants try to reshape ETF market
May 15, 2020
Finra extends postponement of in-person arbitration hearings through July 31
May 15, 2020
Adviser pleads guilty to $18 million fraud scheme
May 15, 2020
Team managing $360 million at UBS moves to Raymond James
May 15, 2020
Morningstar to pay $3.5 million to settle SEC conflict-of-interest charges
May 15, 2020
3 Questions: Firm leveraging clients’ charitable efforts
May 15, 2020
Bank of America sells $1 billion bond issue to fund pandemic relief efforts
May 15, 2020
SECURE Act creates wrinkle for annuities in inherited IRAs
May 15, 2020
Fed launches ETF program with $305 million purchase Tuesday
May 14, 2020
Goldman Sachs to acquire online custodian Folio Investing
May 14, 2020
Finra clarifies sales contest restrictions for proposal to align suitability, Reg BI
May 14, 2020
More women advisers may be unexpected benefit of COVID-19 crisis
May 14, 2020
Finra bars no-show former Ameriprise rep
May 14, 2020
Former plan participants file suit against giant ad agency
May 14, 2020
Finra suspends broker-dealer it previously charged with fraudulent markups
May 14, 2020
Morgan Stanley denies report that it plans independent platform for advisers
May 14, 2020
SEC charges advisers with breaching fiduciary duty over fund choices
May 14, 2020
Big investors sound the alarm about stocks
May 13, 2020
SEC puts pressure on fee transparency in increasingly complex wrap accounts
May 13, 2020
ESG investing becomes the darling of a COVID-19 world
May 13, 2020
Public pensions see worst quarter since credit crisis
May 13, 2020
LPL to open tech center in Austin, Texas
May 13, 2020
401(k) investors warm to stock funds as market rises: report
May 13, 2020
REIT sales tank during COVID-19, but one broker-dealer is still selling
May 13, 2020
Lawyers slow to embrace Zoom for Finra arbitration hearings
May 13, 2020
COVID-19 market tests basic TDF design
May 13, 2020
iCapital Network boosts access to alts with acquisition of rival Artivest
May 13, 2020
Powell plays down possibility of negative Fed rates
May 13, 2020
Building your team while working remotely
May 13, 2020
Robo-adviser TradingFront launches on Interactive Brokers
May 13, 2020
Fiduciary lessons from COVID-19 crisis
May 12, 2020
Court orders Florida Ponzi duo to pay $1.8 million penalty
May 12, 2020
What COVID-19 college refunds and online classes mean for 529 plans
May 12, 2020
Fat fees, conflicts made sales of GPB private placements 'illegal': investor complaint
May 12, 2020
The ABCs of coronavirus-related distributions
May 12, 2020
Advisers look past the glitter, debate gold's value as a long-term investment
May 12, 2020
No Social Security cost-of-living boost likely in 2021
May 12, 2020
Morgan Stanley hit with $5 million penalty for misleading clients in wrap account program
May 12, 2020
Two Wells Fargo FiNet reps managing $315 million move to LPL
May 12, 2020
Showdown in 2nd Circuit over Reg BI
May 12, 2020
Fed to begin buying corporate bond ETFs Tuesday
May 12, 2020
Gold ETFs attract record amounts of cash
May 12, 2020
Portfolio management platform Vise lands $14.5 million in funding
May 11, 2020
BlackRock says PNC to sell stake, plans $1.1 billion buyback
May 11, 2020
Goldman, Fidelity, Gabelli put new spin on semi-transparent ETFs
May 11, 2020
Finra delays launch of online securities licensing exams
May 11, 2020
Plaintiff in failed 401(k) suit files new case against ADP
May 11, 2020
Advisor Group to consolidate three former Ladenburg broker-dealers
May 11, 2020
Last chance to participate in InvestmentNews' 2020 Adviser Benchmarking Survey
May 11, 2020
Help clients make wise medical choices in light of COVID-19
May 11, 2020
Digital currencies are more regulated than you think
May 11, 2020
New rules on bailout loans confuse borrowers
May 10, 2020
Rethinking retirement amid the COVID-19 crisis
May 10, 2020
Pandemic means changes for advisers' firms and their clients
May 10, 2020
I’m listening
May 08, 2020
Finra projects operating loss, potential drawdown of reserves
May 08, 2020
Wall Street tries to figure out which ETFs the Fed will buy
May 08, 2020
Court's decision on Reg BI lawsuit could come down near implementation date
May 08, 2020
ETF universe is contracting for the first time
May 08, 2020
Schwab acquires Motif’s technology to push deeper into ESG investing
May 08, 2020
Finra fines former LPL rep for falsifying client net worth
May 08, 2020
ESG funds saw inflows in first quarter
May 08, 2020
Money funds holding record assets fret as yields head lower
May 08, 2020
Advisers turned to active management, rebalanced during downturn: Fidelity
May 07, 2020
10 IBDs with the most female reps
May 07, 2020
Fidelity, Schwab charitable units see jump in giving to address pandemic
May 07, 2020
Communicating what’s really important
May 07, 2020
Teach your clients to manage their cash flow
May 07, 2020
Schwab to begin offering fractional shares in June
May 07, 2020
BlackRock's Fink sees mass bankruptcies, higher taxes
May 06, 2020
Invesco to repay $105 million to correct botched index fund rebalancing
May 06, 2020
FPA teams with TD Ameritrade to launch 'virtual externship' program
May 06, 2020
Finra slashes mediation fees in response to coronavirus shutdown
May 06, 2020
Franklin Templeton buys AdvisorEngine
May 06, 2020
Financial services embraces technology in adapting to remote work
May 06, 2020
LifeYield upgrades Social Security retirement income tool
May 06, 2020
By the Numbers: Annuity sales
May 06, 2020
3 Questions: Captrust supporting vulnerable communities
May 06, 2020
Rep fined $5,000 for cheating on Series 24 exam
May 06, 2020
Will an uptick in tech adoption during COVID-19 mean a cutback in staff?
May 06, 2020
LPL snags another Securities America team
May 06, 2020
Investors should head for credit rather than cash: UBS Wealth
May 05, 2020
Big US stock traders get SEC OK to start own exchange
May 05, 2020
Young advisers face their first major downturn
May 05, 2020
Remote securities license testing could create new normal
May 05, 2020
3 Questions: Christine Shaw on the evolution of InvestmentNews
May 05, 2020
Pandemic will deplete Social Security trust funds
May 05, 2020
Finra fines former LPL rep for trading away
May 05, 2020
3 Questions: Creative cards for lonely clients
May 05, 2020
COVID-19 helps drive record-level ESG bond issuance
May 05, 2020
Finra censures, fines Dawn Bennett’s former firm
May 05, 2020
3 Questions: Building a youth baseball community during COVID-19
May 05, 2020
Hightower to take stake in $1.4 billion RIA
May 05, 2020
TriplePlay: Three steps to prepare advisers for growth
May 05, 2020
Thinking through what the advice industry will look like after the pandemic
May 05, 2020
Addepar rolls out app for trading hedge fund, PE investments
May 04, 2020
Rethinking client engagement to seize the day
May 04, 2020
New York Fed to begin buying ETFs in ‘early May’
May 04, 2020
3 Questions: Adapting an advice firm on the fly
May 04, 2020
Advisor Group loses another giant team, this time to LPL
May 04, 2020
10 IBDs with the most CFPs
May 04, 2020
Muni market has stabilized since the pandemic jolt, but don't skimp on credit check
May 04, 2020
Navigating private real estate investments amid COVID-19
May 04, 2020
Long-term care is a woman’s issue
May 04, 2020
3 Questions: Encouraging compassion and contributions
May 04, 2020
Buckingham to acquire $424 million RIA
May 04, 2020
CFP Board postpones July exam
May 04, 2020
Brinker Capital's Daniel Crosby talks about the balance of managing client emotions
May 04, 2020
Advisers should be able to use the pass-through deduction
May 04, 2020
Restore the tax deduction for advisory fees
May 03, 2020
Take care of yourself so you can better care for your clients
May 03, 2020
Keeping clients on their path
May 01, 2020
AARP gives distribution deal to online annuity seller Blueprint Income
May 01, 2020
3 Questions: Samantha Russell on turning prospects into clients
May 01, 2020
Even with SEC guidance, advisers must decide when to disclose PPP loans
May 01, 2020
'Show clients your face' and other advice for Zoom calls
May 01, 2020
Withdrawals from DC plans up slightly in 2019
May 01, 2020
SEC pulls license from New York broker-dealer
May 01, 2020
Instead of selling in May, advisers may need to get creative
May 01, 2020
LPL's Arnold sees different financial advice business post COVID-19
May 01, 2020
Stock traders should heed the lessons of the 1930s
May 01, 2020
Rich Americans seize chance to pass on wealth tax-free
May 01, 2020
Business development playbook
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