It’s time to educate your clients, and yourself, about alternative investments
Advisers must know the benefits and pitfalls of common alts.
A pat on the back for progress, but Finra has a long way to go
Regulator has chalked up some welcome changes, but the work is not done.
SEC advice rule: Time for brokers, advisers to weigh in
Much work remains on the proposal, so feedback is crucial.
Beware: Regulators won’t take excuses for reverse-churning
Exam priorities and lawsuits are zeroing in on account switching.
Like it or not, annuities are coming to retirement plans
Some lawmakers are warming to the notion of using annuities to help solve the nation's retirement crisis
Industry and regulators need to safeguard broker data
Poor data management and sharing practices can expose the personal information of thousands of individuals.
DOL fiduciary rule: Don’t abandon compliance just yet
Financial advisers, firms should not make any dramatic changes until the direction of this giant fiduciary ship is on a clearer course.
There’s a major flaw in Finra’s arbitration system
A much more feasible remedy has recently been put forth by PIABA.
Advisers: Make sure your clients aren’t owed pensions
Insurance companies may need help finding forgotten pensioners who left a company with a defined-benefit plan long ago.
Social Security: Advisers must stay current on regulations
A new report indicates that thousands of widows and widowers have been shortchanged by the SSA.