Industry News

Displaying 35449 results
Energy funds iPath, VanEck and Highland soar as oil rebounds above $50 a barrel
NEWS EQUITIES JUN 01, 2016
Energy funds iPath, VanEck and Highland soar as oil rebounds above $50 a barrel

The best performing fund was iPath's exchange-traded note (OIL), which pumped out a cumulative 81.9% gain.

By John Waggoner
NEWS OPINION JUN 01, 2016
3 apps to help advisers stay on task while traveling

These tools have helped Morningstar's Sheryl Rowling stay on top of business while traveling abroad.

By Sheryl Rowling
NEWS EQUITIES JUN 01, 2016
Passive funds see big inflows in April

Investors yank money from stock funds in time to miss May rally.

By John Waggoner
Retirees need 70% of income, but most live on less
NEWS RETIREMENT PLANNING JUN 01, 2016
Retirees need 70% of income, but most live on less

Plus, new research also identifies in which states retirees fare best and worst.

By John Waggoner
Err on the side of caution with DOL fiduciary rule, Phyllis Borzi advises
NEWS PRACTICE MANAGEMENT JUN 01, 2016
Err on the side of caution with DOL fiduciary rule, Phyllis Borzi advises

New regulation has broad reach, so when in doubt, use the best interest contract exemption, assistant secretary says.

By Liz Skinner
NEWS EQUITIES MAY 31, 2016
How stocks' performance can help predict the presidential election

<i>Breakfast with Benjamin</i> Paying attention to how stocks trend between August and November could be a giveaway for which party's candidate will be elected president.

By Jeff Benjamin
Excessive-fee suit targeting $9 million 401(k) plan could be 'harbinger' for industry
NEWS RETIREMENT PLANNING MAY 31, 2016
Excessive-fee suit targeting $9 million 401(k) plan could be 'harbinger' for industry

Lawsuit is perhaps the first example targeting small retirement plans.

By Greg Iacurci
Massachusetts investment adviser Gregg Caplitz sentenced to prison for fraud, SEC says
NEWS RIAS MAY 31, 2016
Massachusetts investment adviser Gregg Caplitz sentenced to prison for fraud, SEC says

He pitched a fictitious hedge fund to investors and used their money for his personal benefit

By Christine Idzelis
Help clients turn off the financial news spigot
NEWS PRACTICE MANAGEMENT MAY 31, 2016
Help clients turn off the financial news spigot

For most clients, paying attention to financial media distracts them from their primary goals.

By Carl Richards
NEWS RIAS MAY 29, 2016
Top questions independent advisers can ask to win overlooked clients from the wirehouses

Wall Street firms' outsized account minimums are sending a negative message to retail investors. Let the wirehouses' losses be your gains.

By Steven Dudash and Alex Papadopoulos
NEWS BROKER DEALERS MAY 29, 2016
Raymond James' $17M fine over anti-money-laundering failures should be a wake-up call

In the wake of Raymond James' $17M fine, it's time advisers take regulators' focus on this issue seriously, as rules are only going to get stricter.

By MFXFeeder
NEWS RETIREMENT PLANNING MAY 29, 2016
To pay income taxes now or later, that is the IRA question

Answers are related to an individual's current and expected future tax circumstances.

By John M. Davis
NEWS RETIREMENT PLANNING MAY 29, 2016
Retiree medical expenses could outpace Social Security benefits in 20 years

Your clients could be under saving for their real retirement income needs.

By Mary Beth Franklin
NEWS ALTERNATIVES MAY 27, 2016
The ultimate alternative investment: Really expensive watches

<i>Breakfast with Benjamin</i> Instead of timing the market, how about investing in time? Specifically, really expensive watches.

By Jeff Benjamin
NEWS EQUITIES MAY 27, 2016
Small-cap stocks gaining momentum while rates stay low

<i>Breakfast with Benjamin</i> Small caps have started to outperform, and it might be connected to the Fed's downward revision on 2016 rate hikes.

By Jeff Benjamin
NEWS ALTERNATIVES MAY 27, 2016
Returns are big, but the jury is still out on lawsuit investing

In addition to risks and returns, advisers need to worry about moral and ethical issues

By Jeff Benjamin
More Americans today are fuzzy on what 529 college savings plans do
NEWS INDUSTRY NEWS MAY 27, 2016
More Americans today are fuzzy on what 529 college savings plans do

Help with college savings would be very popular employee benefit, survey shows

By Liz Skinner
NEWS FINTECH MAY 27, 2016
Next hot thing in 529 college savings plans? Robo-advice

Report says digital advice platforms in these tax-advantaged accounts will attract a new type of investor.

By Liz Skinner
Barred broker Claus Foerster indicted for fraud
NEWS REGULATION AND LEGISLATION MAY 27, 2016
Barred broker Claus Foerster indicted for fraud

Indictment alleges clients were defrauded over a 14-year period.

By Christine Idzelis
NEWS BROKER DEALERS MAY 27, 2016
Raymond James recruits $1.3B team from Bank of America Merrill Lynch

The Jenkintown, Pa., based unit collected about $7 million in annual fees and commissions under its former employer

By Christine Idzelis