September 02, 2017

« Back to Issue Archive

Download Issue

Available to subscribers only

Download

Download Issue

Available to subscribers only

Featured News

Finra: Who's watching the watchdog?

The regulator wields enormous power over the securities industry with little meaningful oversight.

Editorial Action must be taken to make Finra more accountable

The SEC or Congress should consider forming an independent commission to consider Finra's future.

Action must be taken to make Finra more accountable

The SEC or Congress should consider forming an independent commission to consider Finra's future.

Kiddie tax rules can catch both advisers and investors by surprise

The point of the kiddie tax is to avoid parents transferring income to their children and reducing their total tax cost.

Where 401(k) advisers are on the industry consolidation curve

Most industries will go through four stages of consolidation as they mature over a 25-year period. Here's where record keepers and 401(k) advisers stand.