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Inflation report boosts odds of September rate hike
EQUITIES MAY 29, 2015
Inflation report boosts odds of September rate hike

Rise in consumer prices gives the Fed another reason to act this year.

By Jeff Benjamin
ALTERNATIVES MAY 29, 2015
Liquid alts' drawback: High cost

By Trevor Hunnicutt
Best practices for retirement plan rollovers
RETIREMENT PLANNING MAY 28, 2015
Best practices for retirement plan rollovers

Advisers can provide basic education on distribution options, even if the Labor Department's proposed fiduciary rules are still murky.

By Darla Mercado
SEC might require more disclosure about SMAs and social media
PRACTICE MANAGEMENT MAY 28, 2015
SEC might require more disclosure about SMAs and social media

Proposed rules would require advisers on their Form ADVs to divulge more about their use of separately managed accounts and social media activities

By Mark Schoeff Jr.
Advisers' clients want even more of the human touch
PRACTICE MANAGEMENT MAY 28, 2015
Advisers' clients want even more of the human touch

Survey shows that only half of clients feel they're getting your full attention.

By Srividya Kalyanaraman
Index based on social media sentiment gives new weight to tweets
EQUITIES MAY 28, 2015
Index based on social media sentiment gives new weight to tweets

Tapping into the fear and greed of the crowd.

By Jeff Benjamin
GOP senators to SEC Chief Mary Jo White: No more money needed to examine more advisers
PRACTICE MANAGEMENT MAY 28, 2015
GOP senators to SEC Chief Mary Jo White: No more money needed to examine more advisers

Lawmakers argue that agency hasn't justified a 15% increase for 2016

By Mark Schoeff Jr.
Wealthy millennials using robos for retirement planning
FINTECH MAY 28, 2015
Wealthy millennials using robos for retirement planning

But tax, estate and debt planning not high on their agenda for online financial tools

By Srividya Kalyanaraman
RETIREMENT PLANNING MAY 28, 2015
Integrate college, retirement plans

Calculation of need-based aid involves many factors, including 401(k) and IRA contributions.

By Troy Onink
The latest wrinkle in estate planning: Digital assets
INDUSTRY NEWS MAY 28, 2015
The latest wrinkle in estate planning: Digital assets

As clients acquire valuable digital assets, like Dan Ashbach (pictured) and his 1.6 million Pinterest followers, estate planners begin to see what happens when there are no contingency plans.

By Darla Mercado
PRACTICE MANAGEMENT MAY 28, 2015
Fire heats up under Finra's Brokercheck link proposal

Industry heavyweights including Schwab, Wells Fargo and SIFMA bemoan the new Brokercheck link proposal from Finra, saying it is still too costly and vague.

By Mason Braswell
PRACTICE MANAGEMENT MAY 27, 2015
Finra sends broker-compensation proposal to SEC for approval

The measure would require a broker who has transferred to a new firm to send an “educational communication” to clients.

By Mark Schoeff Jr.
INDUSTRY NEWS MAY 27, 2015
Five years in, Janus CEO Richard Weil beats the odds but has more work to do

After the dust from the Bill Gross hiring has settled, verdict is still out as to whether Janus CEO Richard Weil can bring the company's financial metrics up to the level of its competitors.

By Bloomberg
RETIREMENT PLANNING MAY 27, 2015
Mansions swallow older homes as teardowns rise

Is this gentrification or adding value? A familiar debate over city centers moves to the suburbs.

By Bloomberg
Lessons for advisers from Supreme Court's decision on 401(k) excessive fees lawsuit
RETIREMENT PLANNING MAY 27, 2015
Lessons for advisers from Supreme Court's decision on 401(k) excessive fees lawsuit

A few suggestions for retirement plan advisers who want to protect their clients and themselves as 401(k)s face legal and regulatory scrutiny.

By Darla Mercado
RETIREMENT PLANNING MAY 27, 2015
Social Security's $12.4 million error

Agency overpays spousal benefits to some public employees, underpays others.

By Mary Beth Franklin
Adviser faces nine years in prison for diverting investment funds
PRACTICE MANAGEMENT MAY 27, 2015
Adviser faces nine years in prison for diverting investment funds

Self-styled “Financial Coach" sentenced to prison term, $3.6 million restitution for fraud.

By Trevor Hunnicutt
Are brokers being branded with a scarlet 'S'?
BROKER DEALERS MAY 27, 2015
Are brokers being branded with a scarlet 'S'?

Proponents of a fiduciary standard are ganging up on commission-based advisers through public shaming regarding the Suitability standard.

By Mark Schoeff Jr.
PRACTICE MANAGEMENT MAY 27, 2015
Finra puts onus on clients to find broker recruitment incentives

New proposal would make discovering bonuses for moving a do-it-yourself proposition for investors.

By Mark Schoeff Jr.
INDUSTRY NEWS MAY 26, 2015
London Stock Exchange in $1.15B deal to sell Russell Investments to TA Associates

Market operator will retain index business, split off consultant and money manager, which has $266 billion in assets under management.

By Sophie Baker