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SEC's proposed advice rule is about as clear as mud

September 22, 2018

The effort by the Securities and Exchange Commission to clarify for consumers the differing standards of financial professionals could be all for naught. While we give the SEC credit for attempting to salvage some of the momentum and investor-protection...

DOL fiduciary rule might be dead, but its ghost hovers over the financial advice industry

August 18, 2018

The early bird doesn't always get the worm. Financial firms that moved quickly to prepare for full implementation of the Department of Labor's fiduciary rule and now want to reverse those policies must move cautiously to unwind the changes on...

Designations matter to your clients

July 21, 2018

It is not uncommon these days to hear certain corners of the financial advice industry tout their fiduciary status as a major appeal among clients and potential clients. But the truth is, most consumers and many current clients are still finding...

Viewpoints differ on diversity and inclusion, but this we agree on: There are many ways to improve

August 4, 2018

Diversity is​ viewed in very different ways by readers of InvestmentNews. This came into sharp focus when reading the responses to a survey on diversity we conducted in July as a sounding board for this week's issue. This edition of InvestmentNews...

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...

Finra's disclosure on use of fine money a good first step to more transparency

July 7, 2018

The Financial​ Industry Regulatory Authority Inc. is to be applauded for revealing for the first time how it uses the money it collects in fines. This is the latest in a series of steps Finra has taken as it moves to improve transparency,...

Help clients give wisely

December 6, 2015

With the holiday season upon us, financial advisers should talk to clients about their plans for charitable giving. By helping clients devise a well-thought-out giving strategy, which includes vetting charities they intend to give money to,...

A free lunch is anything but

October 25, 2015

It turns out some brokers are getting fat commissions off the investments they are plugging at those “free” lunches they offer senior citizens. You know the drill. In return for a free meal, a group of potential clients agrees to sit through...

No government shutdown — for now

October 11, 2015

So Congress, in its infinite wisdom, avoided a government shutdown with an 11th-hour spending deal at the end of last month. That's the good news. The bad news is that lawmakers once again opted for a short-term stopgap and avoided tackling...

Analyzing Hillary Clinton's capital gains proposal

July 26, 2015

Is Hillary Clinton's capital gains proposal an effort to encourage more long-term investment or a thinly veiled attempt to raise more revenue from upper-income taxpayers? In speeches, Ms. Clinton, currently the front-runner in the race for the...

Warren vs. White: The tone is unfair

June 14, 2015

Come on, senator, give the chairwoman a break. We're speaking, of course, of Sen. Elizabeth Warren, D-Mass., and Mary Jo White, chairwoman of the Securities and Exchange Commission. A couple of weeks ago, Ms. Warren sent a blistering 13-page...

What good is an ad if no one sees it?

June 7, 2015

The Financial Industry Regulatory Authority Inc. has made great strides in recent years in improving the quality and relevance of the information found in its BrokerCheck database. So we are heartened by the industry-funded watchdog's decision...

Sometimes life happens

May 31, 2015

If Marco Rubio proved nothing else recently when he told a TV interviewer that he had cashed out a $68,000 401(k) account, it's that he's (a) not very wealthy, (b) not very bright, or (c) not unlike most middle-class Americans. While a case...

Women bring value to corporate boards

May 10, 2015

Here's an investment strategy financial advisers should consider: Invest in companies with the highest percentage of female board directors. Research in the U.S. and Europe suggests that companies with female directors have better valuations...

Stepping up protection for the elderly

May 10, 2015

Everyone knows, right, that the elderly are among the most vulnerable members of our society. It's the fastest growing segment of the population in the United States — what with about 10,000 baby boomers turning 65 every day — not that 65...

Heading to court, but which one?

March 1, 2015

The controversy over the SEC's increased use of in-house administrative law judges to try civil enforcement cases is not going away. In the past couple of weeks, Gray Financial Group Inc. filed a lawsuit against the Securities and Exchange Commission...

An industry leader and 'a good guy'

February 1, 2015

As journalists, we are trained to be objective about the people, the companies and the industries we cover. In fact, objectivity is a defining characteristic of our profession. It makes it easier for us to be fair and truthful — also central...

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...

Opaque ETFs not in the public interest

October 26, 2014

Score one for the little guy. Last week, the Securities and Exchange Commission bucked the conventional wisdom and denied applications by fund managers BlackRock Inc. and Precidian Investments to offer nontransparent exchange-traded funds to...

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