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NEWS OPINION FEB 14, 2016
Doing the math on RIA exams

Promising developments in the push to boost the number of advisers examined by the SEC each year

YOUR PRACTICE FINTECH FEB 14, 2016
Embrace the robo-adviser disruption

Advisers that embrace this disruption and offer a wider range of services will thrive and prosper in the digital age.

NEWS RIAS FEB 07, 2016
SEC takes steps to avoid Madoff sequel

The regulator must find a way to increase the productivity of its examiners

RETIREMENT RETIREMENT PLANNING FEB 07, 2016
Advisers, new pensions have holes to fill

Clients need to be sold on the idea of saving for retirement, and needing advice on retirement investments

INVESTING EQUITIES JAN 31, 2016
Keep calm and invest on

In the face of volatility, it's now time to review investors' long-term strategies, take the long view, and remain calm.

RETIREMENT RETIREMENT PLANNING JAN 24, 2016
Warming up to ESG funds in 401(k)s

Plan advisers might not fully understand the rules regarding ESG investments

YOUR PRACTICE PRACTICE MANAGEMENT JAN 24, 2016
Form ADV deserves your attention

Mistakes made on this form are low-hanging fruit for the SEC and state regulators.

RETIREMENT LIFE INSURANCE AND ANNUITIES JAN 17, 2016
Advisers should pay attention when regulators lay out exam priorities

Broker-dealers and advisory firms would be foolish not to take regulatory priority letters seriously.

RETIREMENT RETIREMENT PLANNING JAN 17, 2016
Low 401(k) fees aren't a legal cure-all

Fees that participants pay must be the lowest possible if the sponsors are to avoid potential lawsuits

INVESTING EQUITIES JAN 10, 2016
Let's not make a volatile situation worse

The market's swoon to start 2016 offers a sobering reminder that unexpected roller-coaster rides remain as real a threat as they were in 2015.