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With U.S. stocks flying high, advisers should caution clients

May 13, 2017

It has been two decades since then-Federal Reserve Chairman Alan Greenspan used the phrase "irrational exuberance" ​ to describe the general mood of investors during a December 1996 speech at the American Enterprise Institute. At the time,...

New tax plan is a work in progress that needs advisers' input

May 7, 2017

The pace and​ scope of action in Congress last week — including the House vote to repeal Obamacare and a House committee's approval of a Dodd-Frank replacement bill that scraps the Labor Department's fiduciary rule — might make Mr. Trump's...

Donald J. Trump's first 100 days: the highs and lows

April 30, 2017

Despite what President Donald J. Trump says, the first 100 days of an administration are important. That's when a new president makes clear their priorities, proclivities and, perhaps most importantly, their character. Mr. Trump is no exception,...

Setting a new price for financial adviser services

April 22, 2017

Price is the amount of money expected, required or given in payment for something; value is what something is worth, the level of regard in which something is held. Financial advisers should remember a key truth about their relationship with...

Advisers who are already fiduciaries should shout it from the rooftops

April 16, 2017

The concept of fiduciary duty might not yet be fully grasped by consumers, but it is starting to make inroads into mainstream discourse. Clients don't always know what it means to be a fiduciary, but they know they should ask if their adviser...

Time for an in-depth look at regulatory duplication

April 9, 2017

Robert W. Cook, president and CEO of the Financial Industry Regulatory Authority Inc., put his finger on an important issue — regulatory duplication — in a speech at the New Special Study Conference at Columbia University last month. The...

Advisers must protect elderly from financial fraud

April 2, 2017

As this week's cover story makes clear, the financial abuse of older people is on the rise. The elderly are targeted by fraudsters because they often have a pile of savings and a steady stream of income. Older people are also more prone to cognitive...

Change in Washington shouldn't include cutting tax deferrals

March 26, 2017

It seems incomprehensible that lawmakers would do anything that would reduce incentives for Americans saving for retirement, but the Republican-controlled Congress and the Trump administration just may have 401(k) plans on their radar as a way...

Discrimination against women advisers via harsher punishment must stop

March 19, 2017

Finance professors at three top universities have found a clear example of blatant discrimination against women in the financial industry that must be addressed by the firms in the industry, or by regulators. The professors found that women...

The accredited investor rule should be redefined, not erased

March 5, 2017

It should not come as a surprise that there is a general push emanating from Washington for less regulatory oversight, which is the context for recent comments by the acting SEC chairman supporting greater investor access to certain private...

State, local auto-IRA initiatives benefit 'forgotten' workers

February 26, 2017

In his short tenure, President Donald J. Trump has followed up on his campaign promise to try and reduce federal regulations. He has signed an executive order requiring that in order to add a new regulation, government agencies must get rid...

It's up to advisers to know their custodial status

February 17, 2017

As somebody once said, it's the little things in life that get you; you can sit on a mountain but you can't sit on a pin. For financial advisers, one of those little things could take the form of a password or username for a client's online...

President Trump's order on DOL fiduciary rule creates quandary for firms

February 12, 2017

President Donald J. Trump left the financial advice industry in no-man's land when he issued his directive to the Department of Labor to review its fiduciary rule, due to be implemented in April. The regulation would require financial advisers...

Getting a handle on robo-advisers' returns

February 5, 2017

Not all digital advice platforms are created equal. But which one ultimately serves your clients best will take a bit more time to tease out. A recent analysis by Condor Capital Management attempted to provide an early peek at winners and losers....

Too soon to tell how best to invest under Donald Trump presidency

January 29, 2017

Adviser usually don't put much stock in market milestones like the Dow Jones Industrial Average passing the 20,000 mark, as it did last week. But their clients do. Indeed, advisers can expect to get phone calls soon — if they haven't already...

SEC confirmation hearings for new chairman should be fast-tracked

January 22, 2017

Financial industry leaders should urge President Trump and Republican congressional leaders to move quickly on the confirmation hearing for SEC Chairman nominee Jay Clayton, who will replace Mary Jo White. Ms. White's tenure ended with the Obama...

Congress shouldn't overlook these adviser issues in rush for change

January 15, 2017

President elect Donald Trump and the Republican-controlled Congress have a lot of legislative promises to keep as they get down to business — the repeal of Obamacare, tax reform, rolling back some of the Dodd-Frank regulations, renegotiating...

The SEC should wake up and start appointing its judges

January 8, 2017

It is time for the Securities and Exchange Commission to catch up with modern times and start appointing its administrative law judges instead of hiring them like any other civil servant. What might have worked well enough 80 years ago when...

An evolving profession must continue to innovate

December 18, 2016

Innovation is the lifeblood of any industry. An industry where innovators are few and new ideas die before seeing the light of day is an industry that will wither. That is why InvestmentNews is recognizing icons and innovators in this issue....

'Tis the season to get holly, jolly and helpful

December 11, 2016

For some of us, it's the most wonderful time of the year. As we prepare to gather with friends and family for the holidays, we may feel a little more gratitude for what we have than we do during the other 11 months when we're caught up in our...

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