Advisor News

Displaying 26667 results
RETIREMENT PLANNING NOV 06, 2017
Someone tried to hack my Social Security account

Government website offers tips to protect personal data, but gaps may remain.

By Mary Beth Franklin
REGULATION AND LEGISLATION NOV 05, 2017
Tax reform: Advisers will have plenty to digest as legislation works its way through Congress

Provisions in the tax bill will affect advisers and their clients alike.

By crain-api
FINTECH NOV 04, 2017
Do financial advisers need mandatory technology adoption?

Fintech can't work if it's not used, but not everyone agrees whether to use carrots or sticks.

By ecooper
FINTECH NOV 04, 2017
What's the next emerging technology for advisers?

Fintech firms to embrace Alexa, holograms and more to help advisers deliver financial help to clients.

By ecooper
FINTECH NOV 04, 2017
Technology issues test RIAs and custodians

Figuring out robo-advisers and fiduciary are among top concerns for financial planners?

By ecooper
FINTECH NOV 04, 2017
Broker-dealers debate big data and other technology promises

Will fintech ever generate the business analytics advisers want?

By ecooper
REGULATION AND LEGISLATION NOV 04, 2017
SEC Chairman Jay Clayton's quest to forge a fiduciary standard

The new SEC chairman is confident he can up come with a rule better than that of the Department of Labor — one that satisfies brokers, investment advisers and investor advocates alike.

By Mark Schoeff Jr.
FINTECH NOV 04, 2017
America's digital financial habits disappoint

Financial firms target technology to help clients save and invest more intelligently

By Ellie Zhu
INDEPENDENT BROKER DEALERS NOV 03, 2017
IBDs can protect good advisers from bad recruits

Compliance teams must rigorously vet the records of new advisers in order to limit the risks that come with consolidation-driven recruits.

By Steve Youhn
PRACTICE MANAGEMENT NOV 03, 2017
Finra: Morgan Stanley must pay Schwab $1.2 million over broker recruiting violation

Arbitrators rule that Morgan Stanley violated trade secrets by "maliciously and willfully" appropriating a Schwab client list.

By Mark Schoeff Jr.
Tax reform: How the House bill changes rules for retirement savings
RETIREMENT PLANNING NOV 03, 2017
Tax reform: How the House bill changes rules for retirement savings

While pre-tax 401(k) contribution limits are off the table (for now), the Republican tax bill nonetheless makes changes to retirement savings plans.

By Greg Iacurci
REGULATION AND LEGISLATION NOV 03, 2017
Questar to pay nearly $800,000 for overcharging charities

Finra censured firm for selling clients more expensive share classes.

By InvestmentNews
WIREHOUSES NOV 03, 2017
Morgan Stanley advisers feel burned by broker protocol exit

Some reps, including those already thinking of leaving, say the firm only cares about the bottom line.

By Bruce Kelly
REGULATION AND LEGISLATION NOV 02, 2017
Tax reform: What advisers need to know about the House bill

The proposed measure leaves 401(k) plans alone, but makes sweeping changes in many other areas, including mortgages, property taxes, pass-through income and charitable deductions.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION NOV 02, 2017
Former LPL broker loses $30 million claim against old firm

Two of the three Finra arbitrators split their decisions in the case of James E. 'Jeb' Bashaw, a one-time star at LPL who was fired in 2014.

By Bruce Kelly
REGULATION AND LEGISLATION NOV 02, 2017
DOL fiduciary: OMB receives rule providing for 18-month delay

Move would give DOL more time to conduct review of fiduciary regulation ordered by Trump.

By Mark Schoeff Jr.
RIA NEWS NOV 02, 2017
Morgan Stanley's broker protocol exit: How did we get here?

As the number of signatories to the protocol has swelled over the years, so too has the gamesmanship Morgan Stanley cites as its reason for leaving, according to experts.

By Greg Iacurci
RETIREMENT PLANNING NOV 02, 2017
Tax bill has huge changes for firms, individuals

The House legislation includes "no changes" to popular 401(k) retirement plans, but includes a measure to cut the corporate tax rate to 20%.

By Bloomberg
REGULATION AND LEGISLATION NOV 02, 2017
Why the House tax bill could be a 'bonanza' for advisers

Clients may need to navigate shifting tax brackets, re-characterizations of Roth IRA conversions, reconsidering the value of charitable contributions, and restrictions on the mortgage interest deduction.

By Greg Iacurci
REGULATION AND LEGISLATION NOV 02, 2017
Advisory firm owners unlikely to see windfall on tax returns from House bill

Proposed legislation is designed to give manufacturers the lower 25% tax rate, not professional service firms such as financial advisers, lawyers and accountants.

By Mark Schoeff Jr.