Results for "Editorial"

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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....

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...

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....

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,...

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...

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...

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...

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...

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...

SEC wants input on ETPs

June 21, 2015

The SEC wants to hear from you — this time on an investment vehicle most financial advisers hold near and dear: exchange-traded products. The agency solicited input earlier this month on the way it approves new, novel or complex ETPs. As reporter...

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