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NEWS PRACTICE MANAGEMENT JUL 11, 2016
Dawn Bennett plays the victim, challenges SEC ruling

Plus: Oil is low and going lower, active managers get bested by a cat, and what you can learn from your rich neighbors

By Jeff Benjamin
NEWS EQUITIES JUL 11, 2016
Japan's stock market rally has investors suddenly looking eastward

<i>Breakfast with Benjamin</i> The sudden rally in Japan has some citing a turnaround, riding on the wave of Abenomics.

By Jeff Benjamin
NEWS RETIREMENT PLANNING JUL 11, 2016
Roth or traditional 401(k)s — Which is better?

Ever since Congress created Roth accounts, savers have faced this quandary. Now new research answers the question.

By Bloomberg
SunAmerica fund picks just 30 stocks once a year and clobbers the competition
NEWS MUTUAL FUNDS JUL 11, 2016
SunAmerica fund picks just 30 stocks once a year and clobbers the competition

By John Waggoner
Beaten down financial-sector stocks trigger debate over when to jump in
NEWS EQUITIES JUL 11, 2016
Beaten down financial-sector stocks trigger debate over when to jump in

Being early is the same thing as being wrong.

By Jeff Benjamin
Equity precious metals funds are riding higher on Brexit wave
NEWS EQUITIES JUL 11, 2016
Equity precious metals funds are riding higher on Brexit wave

Some funds up more that 100% so far this year.

By Jeff Benjamin
Federal judge approves RCAP bankruptcy plan
NEWS BROKER DEALERS JUL 11, 2016
Federal judge approves RCAP bankruptcy plan

Decision paves way for its biggest asset, Cetera Financial Group, to emerge as a privately held company.

By Bruce Kelly
NEWS LIFE INSURANCE AND ANNUITIES JUL 11, 2016
Former MetLife, Prudential broker accused of deceptive variable annuity sales practices

The adviser allegedly hid improper annuity exchanges from his clients and broker-dealers in part by falsifying documents and misrepresenting some of the annuity features.

By Greg Iacurci
NEWS BROKER DEALERS JUL 10, 2016
Brokers from small IBD with a history of hiring reps with spotty histories on the move

By Bruce Kelly
NEWS ALTERNATIVES JUL 10, 2016
Decades after being barred, 85-year-old investment fraudster strikes again

<i>Breakfast with Benjamin</i> Forty-five years after being barred from the investment industry by the SEC, Donald Conrad was still able to rip off investors.

By Jeff Benjamin
ETF liquidity a growing point of financial industry contention
NEWS ALTERNATIVES JUL 10, 2016
ETF liquidity a growing point of financial industry contention

Little to indicate the ETF industry is fully prepared for a major rush to the exits by investors.

By MFXFeeder
Wyoming poised to scrutinize its RIA industry for the first time
NEWS RIAS JUL 08, 2016
Wyoming poised to scrutinize its RIA industry for the first time

In about a year from now, 21 investment advisory firms representing about $518 million of assets will be required to switch to a state registration from the one they now hold with the SEC.

By Christine Idzelis
NEWS INDUSTRY NEWS JUL 08, 2016
How financial advisers can rethink alternatives

Three tips, which we all learned in kindergarten, could help advisers navigate the turbulent 2016 investing waters.

By Dayne Roseman
NEWS MUTUAL FUNDS JUL 08, 2016
Take 5: Oakmark's Bill Nygren sees value in bank stocks

By John Waggoner
Inside broker and insurance groups' move to block the DOL fiduciary rule
NEWS REGULATION AND LEGISLATION JUL 08, 2016
Inside broker and insurance groups' move to block the DOL fiduciary rule

After laying low for weeks, opponents of the Labor Department's fiduciary rule finally push back.

By Mark Schoeff Jr.
Amazon and Wells Fargo latest to team up on student loans
NEWS INDUSTRY NEWS JUL 07, 2016
Amazon and Wells Fargo latest to team up on student loans

Several affinity programs have been rolled out that aim to attract clients with offers to help them pay the high expenses of college.

By Liz Skinner
Personal Capital available to 200 community banks through Alliance Partners
NEWS FINTECH JUL 07, 2016
Personal Capital available to 200 community banks through Alliance Partners

Many community banks don't offer wealth-management or financial-advisory services.

By Alessandra Malito
Brokers becoming a primary distribution focus for life insurers
NEWS BROKER DEALERS JUL 07, 2016
Brokers becoming a primary distribution focus for life insurers

Life insurance and annuity carriers are focused on growing distribution through brokers. Direct-to-consumer sales, though, reign king.

By Greg Iacurci
NEWS RETIREMENT PLANNING JUL 07, 2016
Time heals most credit reports following the financial crisis

Improving credit scores might entice households to start borrowing more

By Bloomberg
House spending bill includes provision to kill DOL fiduciary rule
NEWS REGULATION AND LEGISLATION JUL 07, 2016
House spending bill includes provision to kill DOL fiduciary rule

Congressional Republicans continue to fight the measure that requires advisers to retirement accounts to act in clients' best interest.

By Mark Schoeff Jr.