Industry News

Displaying 36735 results
ADVISOR NEWS REGULATION AND LEGISLATION MAY 09, 2018
SEC publishes advice rule, sets Aug. 7 comment deadline

The proposal package, filled with questions, is likely to generate hundreds of letters.

By Mark Schoeff Jr.
ADVISOR NEWS RETIREMENT PLANNING MAY 09, 2018
Social Security's most confusing rules

Workers' age and marital status determine their claiming options.

By Mary Beth Franklin
RIAS INDUSTRY NEWS MAY 09, 2018
What are the business priorities of elite 401(k) advisers in 2018?

Managing the firm's operations and employees appears to be the standout.

By Fred Barstein
INVESTING LIFE INSURANCE AND ANNUITIES MAY 08, 2018
Finra fines Fifth Third Securities $4 million for variable-annuity violations

In second major VA enforcement action against Fifth Third, firm also must pay $2 million in restitution.

By Bloomberg
ADVISOR NEWS RETIREMENT PLANNING MAY 08, 2018
Four challenges in using annuities for retirement planning — and how to overcome them

Annuities are confusing, and retirement savers worry about market volatility and want the freedom to spend their savings as they choose.

By Paula Nelson
ADVISOR NEWS REGULATION AND LEGISLATION MAY 08, 2018
Piwowar departure will complicate action on SEC advice rule

Commissioner set to leave agency July 7, about a month before proposal's comment deadline hits.

By Mark Schoeff Jr.
RIAS PRACTICE MANAGEMENT MAY 08, 2018
Navigating Transitions: 5 Essential Keys to Success

For advisors considering a move, these five elements can help guide your practice to a successful transition.

By Gillian Albert
ADVISOR NEWS RETIREMENT PLANNING MAY 07, 2018
Auto features boost plan participants' retirement income replacement level

Participants who are auto-enrolled are on track to replace more of their income in retirement, Empower survey shows

By Bloomberg
ADVISOR NEWS RETIREMENT PLANNING MAY 07, 2018
Asset managers shift 401(k) distribution toward RIA aggregator firms

That could mean fewer wholesalers calling on individual advisers in the field.

By Greg Iacurci
ADVISOR NEWS REGULATION AND LEGISLATION MAY 07, 2018
Court ruling aside, for now DOL will rely on fiduciary rule to govern investment advice

Agency says advisers must make good-faith compliance efforts to rely on exemptions

By Mark Schoeff Jr.
ADVISOR NEWS RETIREMENT PLANNING MAY 07, 2018
Advisers push retired clients to embrace investment risk

Dealing with clients' anxiety explaining that retiring is different from dying.

By Jeff Benjamin
ADVISOR NEWS INDEPENDENT BROKER DEALERS MAY 07, 2018
Utah moves to fine Cetera, LPL and CUSO over credit union violations

Utah moves to charge Cetera, LPL and CUSO over failing to represent credit union relationships correctly.

By Bruce Kelly
RIAS INDUSTRY NEWS MAY 07, 2018
Merger of CFO4Life and Vogel creates $1.2 billion firm

The two wealth managers are located in the suburbs of Dallas.

By InvestmentNews
ADVISOR NEWS RETIREMENT PLANNING MAY 05, 2018
The worst possible time to retire

Market performance in the first few years of retirement determines financial security throughout one's golden years. Here's why the outlook for people retiring today is concerning.

By Greg Iacurci
ADVISOR NEWS RETIREMENT PLANNING MAY 04, 2018
Recent rule changes to boost retiree health costs

New analysis quantifies the effect on Medicare premiums and Social Security benefits.

By Mary Beth Franklin
ADVISOR NEWS REGULATION AND LEGISLATION MAY 04, 2018
Fiduciary advocates disagree SEC advice rule harmonizes standards

In recent speech, SEC chairman Jay Clayton touted 'consistent, fiduciary principles.'

By Mark Schoeff Jr.
RIAS INDUSTRY NEWS MAY 04, 2018
Building a team can help advisers build their practice

Offering more specialized services can help reel in more high-net-worth clients, according to a panel of experts.

By Greg Iacurci
ADVISOR NEWS RETIREMENT PLANNING MAY 04, 2018
Advisers need this new approach to aging clients

Addressing longevity will be key to how financial advisers serve clients in the future.

By Ryan W. Neal
INVESTING MUTUAL FUNDS MAY 04, 2018
Funds that let you tap into M&A fever

These investments let investors take advantage of the current merger boom

By John Waggoner
ADVISOR NEWS RETIREMENT PLANNING MAY 03, 2018
America is turning out more millionaire retirees than ever

Retirees are healthier as well as wealthier, and they're watching a lot more TV.

By Bloomberg