Results for "Editorial"

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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...

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....

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....

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...

Despite a pumped economy, Trump's approval remains low

February 3, 2018

Most American presidents would have envied Donald J. Trump's opportunity to deliver the State of the Union address last Tuesday. After all, he had a good story to tell: solid economic growth, a falling unemployment rate, rising home prices,...

Finra should fix budget shortfall by tackling expenses

January 27, 2018

Finra has a lot of rethinking to do.​ The broker-dealer regulator and its president and chief executive Robert W. Cook deserve commendation for undertaking significant outreach to understand what's going on outside its walls in order to better...

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...

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...

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...

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 —...

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...

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...

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,...

Tax reform: Advisers will have plenty to digest as legislation works its way through Congress

November 5, 2017

And we're off. The starting pistol has been fired in the race to get a tax-reform bill to President Donald J. Trump before the year ends. Financial advisers should keep a close eye on changes made to the proposed tax bill put forth last Thursday...

It's time to speak up about sexual harassment in the workplace

October 28, 2017

In the wake of the Harvey Weinstein scandal, tens of thousands of women — and some men — have started sharing their stories of sexual abuse and harassment under the #metoo hashtag. Men account for 84.3% of the financial adviser community,...

Rushed tax reform would cause more harm than a delay

October 21, 2017

Time is running out for Congress to propose and pass a well-thought-out tax​ reform bill that includes a tax cut, and that's not a bad thing. The House of Representatives is scheduled to adjourn for the year on Dec. 15 and the Senate on Dec....

Advice firms need to invest in training and staff development

October 14, 2017

It's no secret that the advice business is having trouble finding new talent to replace retiring advisers, but a new study from InvestmentNews shows just how much that is hurting the financial health of advisory firms. Because firms can't hire...

Data breaches ratchet up risks for financial advisory firms

October 7, 2017

Financial advisory​ firms of all kinds have received fair warning that they must strengthen their data security and client identity protocols. The warning came in the form of the revelation of the huge Equifax cybersecurity breach, the Securities...

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