Results for "Editorial"

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Supreme Court review will bolster fairness of SEC's in-house judges

January 20, 2018

Whichever way​ the Supreme Court rules in Lucia v. SEC, the decision should improve the fairness of proceedings before the regulator's administrative law judges. If the court should find in favor of Raymond Lucia, who is appealing a decision...

Tax overhaul gift may turn into lump of coal sooner than later

January 6, 2018

The so-called Christmas gift given to the country by President Donald J. Trump and his Republican colleagues — the tax reform law — might be enjoyable in the short run, but it could prove to be nothing more than a lump of coal to many Americans...

Amid seller's market for RIAs, firms must prep for potential sale

January 13, 2018

Last month, at the MarketCounsel Summit in Miami, during a panel discussion about advisory-firm valuations, Rich Gill of Wealth Partners Capital Group cited what might be 2018's most bankable theme in the financial advice space. "Our industry...

Finra needs to get serious about its pledge to protect investors

December 2, 2017

The bylaws of the Financial Industry Regulatory Authority Inc. state that it must always have more public representatives than industry representatives on its board of governors. That makes sense for a regulatory body that is supposed to be...

Cryptocurrency frenzy poses a challenge to advisers

December 16, 2017

Nothing like roaring into the holidays with a mania on our heels.There has been enough news swirling the last few weeks on bitcoin, other cryptocurrencies, their futures, the underlying blockchain technology and, yes, even CryptoKitties —...

Congress' work on tax reform barely gets a passing grade

December 9, 2017

The Republican​ bill to cut and reform taxes deserves a poor grade, not only because of the apparent result (the details are still being negotiated), but even more for the process that has produced it. Let's look at the process first: Grade...

Smart money says temper expectations of stock returns

November 25, 2017

The stock market​ has been generous to investors during the past eight years of almost uninterrupted gains, and some experts are saying it's time to be cautious. Some prominent investors are warning that the next few years are unlikely to...

How Uber and the sharing economy will change the advice industry

September 4, 2016

A notable trend in the new American workforce is the rise of temporary employees, freelancers and independent contractors such as — if you're trying to hail a taxi in New York or any other major U.S. city — the legions of drivers working...

New Finra execs should toughen investor protection rules

August 7, 2016

As the changing of the guard takes place at the Financial Industry Regulatory Authority Inc. this month, new CEO Robert W. Cook and Chairman John J. Brennan would do well to revisit some of Finra's more important investor protection proposals...

Exiting broker protocol may not be good move for industry

November 11, 2017

Two weeks ago, Morgan Stanley kicked over what could be the first domino in a sweeping shift away from broker protocol policies, and the financial services industry is still trying to figure out what it all means. From Morgan Stanley's perspective,...

Doing the math on RIA exams

February 14, 2016

Two promising developments in the push to boost the number of advisers examined by the SEC each year have taken shape in the last couple of weeks. But don't hold your breath for that knock on the door from an examiner just yet. The first is...

Don't tune out crowdfunding

November 15, 2015

The moment many advisers hear the term “crowdfunding,” they tune out. Crowdfunding is for the unwashed masses, for Kickstarter fans, for small-time investing neophytes. It's not a place for real investing. Well, advisers can continue to...

Richard Ketchum's Finra heir must prioritize investors

November 8, 2015

When Richard Ketch-um hangs up his sheriff's badge sometime in the near future, it will truly mark the end of an era. The career regulator became the Financial Industry Regulatory Authority Inc.'s chief executive in 2009 in the middle of the...

The next few years are going to hurt

November 1, 2015

Some economists are predicting an era of slow growth for the foreseeable future, and if they are correct, that would have significant implications for investors. Last week, the Commerce Department's preliminary estimate of the rate of increase...

Industry opposition to state retirement plans ignores reality

September 4, 2016

Most advisers would agree that the more people saving for retirement, the better. So the opposition to a recent DOL rule making it easier for states to help businesses not currently offering workplace retirement programs to set up savings plans...

Look before you leap. A cliché, but...

September 13, 2015

Two disparate pieces of recent news highlighted the risks of knee-jerk reactions. A year ago, when celebrity bond manager Bill Gross left the firm he co-founded in the 1970s, Pacific Investment Management Co., investors fled his flagship Pimco...

Stock buybacks: Who benefits?

August 9, 2015

Stock buybacks are once again in the news, with Democratic presidential candidate Hillary Clinton criticizing companies for spending their cash on buybacks rather than investing it. Buybacks have been controversial for many years. Defenders...

SEC in-house justice system stacks the deck

July 26, 2015

The Securities and Exchange Commission must revisit aspects of its use of in-house judges to try civil enforcement cases. The agency must be fair in legal proceedings against the financial community and, just as importantly, it must appear to...

Finra, it's high time for transparency

July 24, 2016

The Finra board met recently and appointed a new chairman. It also took action on a few rule proposals. It's likely the public found out only after the fact that these decisions were even on the table. So what's next for the board? And when...

Millennials make good customers

June 28, 2015

Finally, there is some good news about millennials and retirement saving that financial advisers can build upon. A new survey by T. Rowe Price Associates Inc. has found that millennials are focused on saving for retirement despite having college...

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