Results for "Editorial"

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Beware: Regulators won't take excuses for reverse-churning

April 14, 2018

With regulators​ zeroing in on reverse-churning, and lawsuits popping up around the practice, advisers should be paying attention. The concern stems from conflicts of interest that advisers face when deciding whether to move clients from commission-based...

Industry and regulators need to safeguard broker data

March 31, 2018

The cybersecurity​ breach last year at Equifax Inc., which exposed the personal information of at least 145 million individuals worldwide to hackers, alerted businesses and governments to the need to constantly review and tighten their security...

Like it or not, annuities are coming to retirement plans

April 7, 2018

Some would argue that annuities and 401(k) plans should never mix. To those individuals, we say brace yourselves, because legislation is being considered in Congress that could clear a path for more employers to offer annuity products in their...

DOL fiduciary rule: Don't abandon compliance just yet

March 24, 2018

So now we wait … patiently … for the next move … in the ongoing saga … of the DOL fiduciary rule. The momentum generated by courts upholding various aspects of the Department of Labor's conflicts-of-interest regulation, as the Trump...

Advisers: Make sure your clients aren't owed pensions

March 10, 2018

Here's a job for investment advisers: Help MetLife, and probably other major life insurance companies, locate retired workers to whom they owe pensions. Companies have been offloading pension liabilities to insurance companies at a growing rate....

There's a major flaw in Finra's arbitration system

March 17, 2018

It is clear to anyone paying attention that there is something wrong with the Financial Industry Regulatory Authority Inc.'s arbitration system. While the process of deciding guilt or innocence seems to be working, there doesn't seem to be any...

DOL fiduciary rule enforcement won't be halted after all

February 24, 2018

Last November​ advisers got word that the teeth of the DOL fiduciary rule — the enforcement mechanism known as the best-interest contract – would be clenched shut for another year and a half. The legally binding contract between brokers...

Advisers should take SEC up on offer to waive penalties

February 17, 2018

Fans of golf know the sport as one in which participants call penalties on themselves. This is essentially what the Securities and Exchange Commission is now asking of financial advisers. The commission's announcement last week, citing "widespread"...

Make sure clients don't take the wrong lessons from the drop

February 10, 2018

Financial advisers and their clients deserve a pat on the back for their response to the recent, dramatic market volatility. Advisers have counseled their clients not to panic in market downturns and to invest for the long run, and, according...

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...

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...

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...

A technology response to the DOL fiduciary rule

March 20, 2016

Spring has arrived, and millions of Americans adjusted by following the annual ritual of shifting their clocks forward on March 13. It's also now time to spring ahead on preparations for the final draft of the Department of Labor's fiduciary...

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...

Social Security: Advisers must stay current on regulations

March 3, 2018

Imagine finding​ out that your widowed mother's monthly Social Security benefit check was less than she was entitled to. You'd likely be furious and more than a little ashamed for not having watched out for her best interests more closely....

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...

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...

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