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RETIREMENT PLANNING DEC 09, 2016
Will your career really last into retirement?

Working into your 70s or 80s can be a great idea, but it's also completely unrealistic for many workers who want to stick to their chosen profession.

REGULATION, LEGAL & COMPLIANCE DEC 08, 2016
Trump pick for Labor secretary not likely to favor DOL fiduciary rule

Though Andrew Puzder, a fast-food CEO, has not weighed in on the regulation, his conservative leanings on employment policies indicate he probably won't embrace it.

RIA NEWS NOV 30, 2016
Madoff case provides blueprint on how to profit from a Ponzi scheme

Investing through offshore channels protects investors from legal efforts to clawback gains.

Elizabeth Warren questions whether Wells Fargo brokerage unit ensnared in bank's sales scandal
REGULATION, LEGAL & COMPLIANCE NOV 30, 2016
Elizabeth Warren questions whether Wells Fargo brokerage unit ensnared in bank's sales scandal

The Massachusetts lawmaker and two other Democrats asked whether the bank filed inaccurate reports on terminated employees to Finra.

FINTECH NOV 29, 2016
Technology at the core of reinvention

Advisory firm hunts down a cloud-based system to make compliance more automated.

RETIREMENT PLANNING NOV 23, 2016
The despondent voter's guide to Trump and money

If you're saving for retirement or other long-term goals, too much fear and caution can be dangerous.

FINTECH NOV 23, 2016
Technology that improves client service with fewer people

Adviser shares path to lower costs through integration.

RETIREMENT PLANNING NOV 22, 2016
401(k) plan designs hurt employees' ability to save

A number of longtime 401(k) plan designs fail to reflect a new workforce, according to a Government Accountability Office report.

Former Citigroup broker claims she was victim of gender discrimination
REGULATION, LEGAL & COMPLIANCE NOV 21, 2016
Former Citigroup broker claims she was victim of gender discrimination

Adviser said she was reduced to a "glorified secretary" and fired after reporting a superior for violating insider trading rules.

RIA NEWS NOV 21, 2016
Wall Street veterans file past Trump for potential Treasury secretary post

But Steven Mnuchin, a member of the transition team's executive committee and a former Goldman Sachs Group Inc. partner, is still thought to be the front-runner.