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Dramatic changes to legislation seem unlikely despite full Democratic control
An evenly divided Senate might tweak rather than overhaul investment-advice policy, such as the treatment of rollovers, while resisting some tax increases Biden advocated during the election.
Broker-dealers brace for cyberthreats
2020 was the year that independent broker-dealers needed to rely on technology more than ever, with home-office staff and a large number of advisers working from home or in remote offices. What if criminals breach a broker-dealer's cyber wall?
Market watchers search for silver linings in 2021
Will more stimulus, curbing COVID-19 and releasing pent-up demand fuel a second-half surge?
Not even a global pandemic could derail RIA M&A momentum
Deal watchers say 2021 will be another record year
2020: The year Wall Street lost the wealth management race
COVID-19 slowed down but did not halt the flow of advisers fleeing wirehouse firms for the independent channel
A watershed year for wealthtech adoption
A confluence of environmental changes, like work from home orders, virtual events and an economic recession, have forced advisers to embrace tech tools in a matter of months
State fiduciary rules slow down amid pandemic, political transition
Efforts to implement fiduciary rules in New Jersey, Nevada and Massachusetts are in limbo
Darlings of 2020, ETFs expected to carry momentum into 2021
Strong performance and low fees means the next leg of ETF growth might be just getting started
Trump administration pushes regulations across finish line in waning days
DOL rules affecting investment advice and the use of ESG factors may be vulnerable under Biden
RIAs see business go south
Large registered investment advisers in the Northeast have watched their assets diminish in 2020, even as the broader market reached fresh highs
401(k) lawsuits explode in 2020
New cases were filed against employers, and insurers have tamped down limits on fiduciary liability coverage
How advisers are helping clients rethink their kids’ college experience
Even high-net-worth families are questioning their return on investment as campus life is roiled by COVID-19
Free financial planning apps enter the equation
The tools provided by big players like Fidelity and Schwab are a plus for investors just starting out, but what do they mean for smaller advisory firms?
Getting annuities onto 401(k) plan menus
SECURE Act provisions providing plan fiduciaries with some legal protection, requirements for lifetime income disclosures on 401(k) statements and a volatile stock market all bode well for these products
Election poses fresh challenge for Reg BI
If Democrats prevail, regulators may upset the new Reg BI standard, leading to big changes in fee structures — or they may just leave it alone
Why are advice firms still trying to ride a bull market?
The industry is overly dependent on the markets for revenue growth, according to an InvestmentNews pricing study
How secure is Social Security?
Advisers will need to act to help clients navigate what is potentially a looming financial crisis
TAMPs consolidate to compete
In a crowded marketplace, turnkey asset management platforms are forging new tactics to jockey for additional market share
Retirement planning and biological age testing
Biological-age testing is becoming widely available, and though the technology is still in its early days, it could eventually help change retirement planning
Bond market refresh
ESG isn’t just for equities anymore, as financial advisers respond to growing demand for a greener fixed-income market
