Table of Contents

Issue Date: November 18, 2012

News

Lessons from a fallen star

By Bruce Kelly

The rise and fall of superstar broker Don DeWaay says plenty about the state of the industry -- and its future.

0 - Home Page0 - Top StoriesFeatured StoryIssue AlertNewsregional brokerages

Getting a second wind, DOL likely to breathe harder on ERISA advisers

By Darla Mercado

Financial advisers and broker-dealers can expect a re-energized Labor Department to step up enforcement actions and investigations next year, thanks to the election.

0 - Home Page0 - Top StoriesFeatured StoryIssue Alertlegislation and regulationNews

MassMutual settles for $1.6M for insufficient VA disclosures

By Darla Mercado

Massachusetts Mutual Life Insurance Co. last week reached a $1.63 million settlement with the Securities and Exchange Commission related to insufficient disclosures on one of its variable annuity riders. The SEC claimed that the

0 - Top StoriesInsuranceIssue Alertlife insuranceNewsSecurities and Exchange Commission (SEC)

Editorial

More transparency needed at CFP Board

If the CFP Board wants to meet its mission and not suffer a lingering stain on its reputation, it must come clean about the Alan Goldfarb drama.

Certified Financial Planner Board of Standards Inc. (CFP Board)Editorial

Practice Management

News for Financial Advisers

The Tax-Conscious Adviser

Technology Update

People

  @IN Wire

Jun 15 11:15AM
Advisers on the Move: Morgan Stanley lost over $650 million in AUM this week through these departures: http://t.co/3jOlIfGqHO
Jun 15 09:08AM
Detroit rocked city after debt default http://t.co/j4fhHNk646

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