Industry News

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Why fixed indexed annuities are continuing to increase in popularity
NEWS RETIREMENT PLANNING MAR 18, 2016
Why fixed indexed annuities are continuing to increase in popularity

Their features require careful explanation, but today's fixed indexed annuities can offer upside for clients.

By Mark Fitzgerald
NEWS ALTERNATIVES MAR 18, 2016
Time for advisers to brush up on ESG investing

By MFXFeeder
Volatility drives stock market fears in 401(k) plans
NEWS RETIREMENT PLANNING MAR 18, 2016
Volatility drives stock market fears in 401(k) plans

Participants shifted their balances to conservative funds amid higher trading activity.

By Greg Iacurci
As indexed universal life sales climb, be sure to mind the risks
NEWS RETIREMENT PLANNING MAR 18, 2016
As indexed universal life sales climb, be sure to mind the risks

Advisers need to bear in mind that this cousin of traditional universal life insurance requires unique precautions.

By Darla Mercado
NEWS REGULATION AND LEGISLATION MAR 17, 2016
Finra charges former broker with improperly trading customers accounts

David Randall Lockey, who had worked for SWS Financial Services, now known as Hilltop Securities Independent Network, is named in the complaint

By Christine Idzelis
Calamos Investments patriarch gives up CEO title
NEWS INDUSTRY NEWS MAR 17, 2016
Calamos Investments patriarch gives up CEO title

John Calamos Sr. will relinquish the CEO title next month after struggling for two years to reverse a decline in the company's business and stock price.

By Crain's Chicago Business
NEWS RETIREMENT PLANNING MAR 17, 2016
Some taxpayers will pay more for online, do-it-yourself preparation

Having more willpower early in the season could save a few bucks.

By Bloomberg
Commodity, energy investment funds on a comeback
NEWS ALTERNATIVES MAR 17, 2016
Commodity, energy investment funds on a comeback

Long-suffering energy limited partnership funds, for example, have leaped 21.46% the past 30 days.

By John Waggoner
Mass confusion over new Social Security rules
NEWS RETIREMENT PLANNING MAR 17, 2016
Mass confusion over new Social Security rules

April 29 deadline applies only to file-and-suspend strategy, not spousal benefits.

By Mary Beth Franklin
Vanguard rolls out funds with 0.01% expense ratio
NEWS EQUITIES MAR 17, 2016
Vanguard rolls out funds with 0.01% expense ratio

The minimum investment is $5 billion for the stock fund, and $3 billion for the bond fund.

By John Waggoner
NEWS INDUSTRY NEWS MAR 16, 2016
Wells Fargo warns wealth clients to watch out for energy MLP squeeze

Investors advised to weed out quality master limited partnerships in commodities slump shakeout

By Christine Idzelis
Why bigger isn't better when buying a house
NEWS RETIREMENT PLANNING MAR 16, 2016
Why bigger isn't better when buying a house

There's plenty of evidence that it's not a great investment — and may even be a bad one in a recession.

By John Waggoner
Why bigger isn't better when buying a house
NEWS INDUSTRY NEWS MAR 16, 2016
Why bigger isn't better when buying a house

There's plenty of evidence that a big house is not a great investment — and may even be a bad one in a recession.

By John Waggoner
NEWS RIAS MAR 16, 2016
Historical timeline of fiduciary duty for financial advice

By Mark Schoeff Jr.
DOL fiduciary rule is spurring technology adoption and innovation: Cerulli report
NEWS FINTECH MAR 16, 2016
DOL fiduciary rule is spurring technology adoption and innovation: Cerulli report

Advisers won't have a choice when it comes to picking up new tech to serve smaller accounts.

By Alessandra Malito
NEWS REGULATION AND LEGISLATION MAR 16, 2016
Supreme Court nominee Merrick Garland part of judicial panel that struck down 'Merrill Lynch rule'

By Christine Idzelis
House Speaker Paul Ryan becomes leading opponent of DOL fiduciary rule
NEWS REGULATION AND LEGISLATION MAR 16, 2016
House Speaker Paul Ryan becomes leading opponent of DOL fiduciary rule

House Speaker Paul Ryan has charged into the debate in the last few weeks with arguments echoing those of the financial industry.

By Mark Schoeff Jr.
NEWS REGULATION AND LEGISLATION MAR 16, 2016
Investors owed millions in arbitration awards getting stiffed, lawyer group says

PIABA wants Finra to create a national recovery pool funded by brokerages.

By Christine Idzelis
LPL eyes more fee-based variable annuities as fiduciary rule looms
NEWS RETIREMENT PLANNING MAR 16, 2016
LPL eyes more fee-based variable annuities as fiduciary rule looms

Distribution of more variable annuities in an advisory rather than commission environment could play out as a result of Labor Department regulation.

By Greg Iacurci
NEWS EQUITIES MAR 16, 2016
We might all be better off if more women were managing money

<i>Breakfast with Benjamin</i> If the data is correct, women's investment returns have been trouncing men's for nearly a decade.

By Jeff Benjamin