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Improved health outcomes can boost retirement savings
NEWS RETIREMENT PLANNING JUL 10, 2018
Improved health outcomes can boost retirement savings

Reducing health care costs frees up more money to be invested.

By Mary Beth Franklin
What's new in today's move to independence
NEWS PRACTICE MANAGEMENT JUL 10, 2018
What's new in today's move to independence

By Gillian Albert
Companies start paying employee student loan debt
NEWS PRACTICE MANAGEMENT JUL 09, 2018
Companies start paying employee student loan debt

The goal is usually described by employers as a way to attract and retain talent, but not all firms handle it the same way.

By Robert Steyer
Trade war fueling bond rally
NEWS FIXED INCOME JUL 09, 2018
Trade war fueling bond rally

The Treasury 10-year yield could test support at 2.75% this week as investors seek the safe haven of government debt

By Bloomberg
Michael Duffy and Happiness Wealth Management join LPL Financial
NEWS RIAS JUL 09, 2018
Michael Duffy and Happiness Wealth Management join LPL Financial

Author of books on happiness joins LPL's broker-dealer and hybrid RIA platforms.

By Sarah Min
SEC bars ex-LPL rep over variable annuity sales
NEWS LIFE INSURANCE AND ANNUITIES JUL 09, 2018
SEC bars ex-LPL rep over variable annuity sales

Massachusetts ordered Roger Zullo to disgorge $1.9 million in commissions.

By InvestmentNews
Wells Fargo team managing $177 million joins Janney
NEWS INDUSTRY NEWS JUL 09, 2018
Wells Fargo team managing $177 million joins Janney

MD Wealth Management Group is located in Franklin, Tenn.

By InvestmentNews
Best-performing sectors this earnings season most at risk from trade war
NEWS EQUITIES JUL 09, 2018
Best-performing sectors this earnings season most at risk from trade war

Tech, energy and materials stocks have the highest profit forecasts — and the most overseas sales.

By Bloomberg
Georgia decision on broker protocol could have wide impact
NEWS WIREHOUSES JUL 09, 2018
Georgia decision on broker protocol could have wide impact

How will the four wirehouses react to this news?

By Bruce Kelly
Judge dismisses stock-drop suit against Allergan
NEWS RETIREMENT PLANNING JUL 09, 2018
Judge dismisses stock-drop suit against Allergan

Plaintiffs alleged that offering 'artificially inflated' company stock in the defined-contribution plan violated ERISA.

By Robert Steyer
Adviser serves Hispanic clientèle in Puerto Rico and the mainland
NEWS RIAS JUL 07, 2018
Adviser serves Hispanic clientèle in Puerto Rico and the mainland

Ten years ago, Eduardo J. Ramos started Freedom Advisory, one of just a handful of fee-only RIAs in Puerto Rico.

By Sarah Min
Where to stash your cash as tariffs kick in
NEWS FIXED INCOME JUL 06, 2018
Where to stash your cash as tariffs kick in

Gold, a traditional safe haven, has declined in recent months, damaged by the strengthening dollar.

By Bloomberg
Midsize asset managers face a squeeze
NEWS INDUSTRY NEWS JUL 06, 2018
Midsize asset managers face a squeeze

Rising costs and declining profits are likely to take their tool on midlevel asset management companies, Bain report says

By Mark Gilbert
Even after SEC's additional guidance, custody remains complicated rule for investment advisers
NEWS RIAS JUL 06, 2018
Even after SEC's additional guidance, custody remains complicated rule for investment advisers

Compliance experts want agency to revisit regulation whose FAQs now run to 17 pages

By Mark Schoeff Jr.
Finra arbitrator awards $1.5 million in damages to oil and gas investor
NEWS REGULATION AND LEGISLATION JUL 06, 2018
Finra arbitrator awards $1.5 million in damages to oil and gas investor

Neither Texas E&P Partners nor principal Mark Plummer showed up for hearing to answer investor's charges of gross negligence and recommending unsuitable investments.

By Bloomberg
Vanguard isn't taking in as much money; neither is anyone else
NEWS MUTUAL FUNDS JUL 06, 2018
Vanguard isn't taking in as much money; neither is anyone else

Giant asset manager's inflows were down 42% in the first half.

By Bloomberg
Finra set to strengthen background checks for new registered rep hires
NEWS REGULATION AND LEGISLATION JUL 05, 2018
Finra set to strengthen background checks for new registered rep hires

Regulator will conduct public financial records review within 15 days of Form U4 filing.

By Mark Schoeff Jr.
Goldman Sachs poses new threat to active mutual fund managers
NEWS ETFS JUL 05, 2018
Goldman Sachs poses new threat to active mutual fund managers

Firm has created the ETF equivalent of a killer cyborg fund.

By Bloomberg
New ways to estimate and fund long-term care costs
NEWS RETIREMENT PLANNING JUL 05, 2018
New ways to estimate and fund long-term care costs

Advisers are challenged to protect against one of the biggest risks to a retirement plan.

By Mary Beth Franklin
Fee pressure driving asset managers into wealth management
NEWS INDUSTRY NEWS JUL 05, 2018
Fee pressure driving asset managers into wealth management

Cerulli study says mutual fund companies and wealth managers are swimming in the same channels.

By Jeff Benjamin