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NEWS REGULATION AND LEGISLATION FEB 10, 2017
Labor Department seeks 180-day delay of fiduciary rule: Reports

Agency also wants to open another round of public comment on the regulation, according to published reports.

By InvestmentNews
Is your 401(k) balance above or below average?
NEWS RETIREMENT PLANNING FEB 10, 2017
Is your 401(k) balance above or below average?

As life expectancy increases and the inflation rate on health-care spending regularly rises, you need to stay ahead of the game.

By Bloomberg
NEWS RETIREMENT PLANNING FEB 10, 2017
Two ways to boost Social Security benefits

Working longer and postponing benefits can increase future payments.

By Mary Beth Franklin
NEWS OPINION FEB 10, 2017
There's never been a better time to provide life insurance advice

Clients need help with this last, largest, most-neglected asset on their balance sheets like never before

By Barry Flagg
NEWS WIREHOUSES FEB 10, 2017
Morgan Stanley mulls moving New York City headquarters

Firm is considering buying space near Hudson River, site of BlackRock's new offices

By InvestmentNews
NEWS REGULATION AND LEGISLATION FEB 10, 2017
Move to delay implementation threatens DOL fiduciary rule

The implementation delay stops a regulation that has been almost seven years in the making.

By Mark Schoeff Jr.
NEWS LIFE INSURANCE AND ANNUITIES FEB 10, 2017
Dallas judge in DOL fiduciary rule suit deals yet another blow to indexed annuities

The judge affirmed that inclusion of indexed annuities in the BICE was reasonable.

By Greg Iacurci
RIAs at odds over fees for clients' cash balances
NEWS RIAS FEB 10, 2017
RIAs at odds over fees for clients' cash balances

For many advisers, whether to charge on cash depends on how much time they are spending managing those assets. .

By Jeff Benjamin
Rogue brokers still pose danger to investors
NEWS BROKER DEALERS FEB 10, 2017
Rogue brokers still pose danger to investors

Even with Finra's extra attention, countless numbers of rogue brokers are still employed in the securities industry.

By Bruce Kelly
SEC charges Connecticut RIA with stealing $3.95M from investors
NEWS RIAS FEB 10, 2017
SEC charges Connecticut RIA with stealing $3.95M from investors

The regulator alleges the founder of Sentinel Growth Fund Management stole from investors to settle private lawsuit.

By InvestmentNews
NEWS REGULATION AND LEGISLATION FEB 09, 2017
Dallas court approval of DOL fiduciary rule bolsters supporters' case

The loss in Texas was the third that industry plaintiffs have suffered in courts around the country and perhaps the one that stung the most. <b>Plus: <a href=&quot;http://www.investmentnews.com/article/20170209/FREE/170209897/john-bogle-demise-of-fiduciary-rule-would-be-step-backward-for-nation&quot; target=&quot;_blank&quot;>John Bogle on why demise of fiduciary rule would be 'step backward' for nation </a></b>

By Mark Schoeff Jr.
NEWS REGULATION AND LEGISLATION FEB 09, 2017
Trump call for DOL fiduciary rule review could open door to uniform standard

Brokerage business foes say they want a better rule; others call that a ruse

By InvestmentNews
John Bogle: Demise of fiduciary rule would be 'step backward' for nation
NEWS REGULATION AND LEGISLATION FEB 09, 2017
John Bogle: Demise of fiduciary rule would be 'step backward' for nation

'Fiduciary principle' will survive regardless of rule outcome, Times op-ed predicts

By InvestmentNews
NEWS INDUSTRY NEWS FEB 09, 2017
Trump protectionism poses big market risks: strategists

Liz Ann Sonders, chief investment strategist at Charles Schwab Corp., and Jonathan Golub, chief U.S. market strategist at RBC Capital Markets, express serious concerns over President Donald J. Trump's rhetoric over a trade war.

By Greg Iacurci
NEWS FINTECH FEB 09, 2017
Got client passwords? That means custody to SEC

Advisers still unintentionally falling into trap of custody provisions passed after Madoff swindle.

By Liz Skinner
NEWS RETIREMENT PLANNING FEB 09, 2017
Medicare enrollment ends HSA eligibility

Working longer can allow continued contributions.

By Mary Beth Franklin
Justice Department seeks stay in DOL fiduciary rule lawsuit
NEWS REGULATION AND LEGISLATION FEB 09, 2017
Justice Department seeks stay in DOL fiduciary rule lawsuit

Attorneys ask the Dallas federal court not to issue a ruling pending a &#8220;status report&#8221; it plans to file in relation to President Trump's Feb. 3 memo to review the regulation.

By Mark Schoeff Jr.
Focus Financial adds $800M Lone Star State firm
NEWS RIAS FEB 09, 2017
Focus Financial adds $800M Lone Star State firm

CFO4Life left LPL in 2012 to go independent

By InvestmentNews
UBS exploring fee-based annuities for advisers
NEWS LIFE INSURANCE AND ANNUITIES FEB 09, 2017
UBS exploring fee-based annuities for advisers

The wirehouse would be jumping on a trend toward advisory business that analysts expect to accelerate because of the Labor Department's fiduciary rule.

By Greg Iacurci
Galvin orders LPL to pay $3.7 million in restitution, fines over unsuitable VA sales
NEWS BROKER DEALERS FEB 09, 2017
Galvin orders LPL to pay $3.7 million in restitution, fines over unsuitable VA sales

Charges by Massachusetts' top regulator relate to the former top-producing adviser Roger Zullo, who allegedly committed fraud in selling variable annuities to retirees.

By Bruce Kelly