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To succeed tomorrow, build  a new workplace today
OPINION APR 26, 2020
To succeed tomorrow, build a new workplace today

Prepare a workplace that permits employees to succeed under any circumstance

3 Questions: Rich Cancro on selling firm to Franklin Templeton
FINTECH APR 25, 2020
3 Questions: Rich Cancro on selling firm to Franklin Templeton

The founder of AdvisorEngine talks about how the deal went down

Undoing unwanted RMDs
RETIREMENT PLANNING APR 25, 2020
Undoing unwanted RMDs

Ed Slott discusses whether clients who already took required minimum distributions this year can put that money back in light of the CARES Act

Indie managing $415 million moves to Raymond James from LPL
PRACTICE MANAGEMENT APR 24, 2020
Indie managing $415 million moves to Raymond James from LPL

Elite Financial Management’s Bill Dendy and three reps switch firms in Dallas

Rutledge leaving Labor Department at end of May
PRACTICE MANAGEMENT APR 24, 2020
Rutledge leaving Labor Department at end of May

The assistant secretary of Labor worked on plans to permit electronic plan disclosures

Court orders Aequitas to disgorge $453 million in fraud case
REGULATION, LEGAL & COMPLIANCE APR 24, 2020
Court orders Aequitas to disgorge $453 million in fraud case

CEO Robert Jesenik and other firm executives were barred and penalized

Texas judge shuts sham state securities regulator
REGULATION, LEGAL & COMPLIANCE APR 24, 2020
Texas judge shuts sham state securities regulator

The website tried to steal information by claiming to protect investors

House overwhelmingly passes aid bill
REGULATION, LEGAL & COMPLIANCE APR 24, 2020
House overwhelmingly passes aid bill

President Trump is scheduled to sign the $484 billion coronavirus stimulus package Friday

3 Questions: Brian Hamburger on adviser recruiting
INDEPENDENT BROKER DEALERS APR 23, 2020
3 Questions: Brian Hamburger on adviser recruiting

The founder and CEO of MarketCounsel discusses whether advisers are rethinking their plans to go independent

Employers weigh cuts in plan contributions, record keepers say
RETIREMENT PLANNING APR 23, 2020
Employers weigh cuts in plan contributions, record keepers say

Most plan participants are not shifting allocations, but they are looking for loans or hardship withdrawals