Advisor News

Displaying 26937 results
REGULATION AND LEGISLATION MAR 06, 2016
House votes to kill DOL fiduciary rule

But Republicans failed to garner the bipartisan support necessary in both the House and Senate to override a threatened Obama veto.

By Mark Schoeff Jr.
Why the Social Security file-and-suspend strategy isn't for everyone
RETIREMENT PLANNING MAR 04, 2016
Why the Social Security file-and-suspend strategy isn't for everyone

Just because you are eligible, doesn't mean this claiming strategy is right for you.

By Mary Beth Franklin
Finra wants to ease membership application process, while still protecting investors
REGULATION AND LEGISLATION MAR 04, 2016
Finra wants to ease membership application process, while still protecting investors

New report details proposed changes in rules and material it requires from broker-dealers.

By Liz Skinner
Where Hillary Clinton, Donald Trump and the candidates stand on Social Security
RETIREMENT PLANNING MAR 04, 2016
Where Hillary Clinton, Donald Trump and the candidates stand on Social Security

Next president should tackle retirement program reform.

By Mary Beth Franklin
FINTECH MAR 04, 2016
What the Apple-FBI feud means for financial advisers and privacy rights

What happens with the tech giant could have ripple effects for financial services. Regulators potentially may get stricter in investigations of brokers.

By Alessandra Malito
Not just the DOL: Retirement plan advisers must prepare for increased SEC scrutiny
RETIREMENT PLANNING MAR 04, 2016
Not just the DOL: Retirement plan advisers must prepare for increased SEC scrutiny

SEC now digging into rollover advice, other aspects of conflicts relating to retirement accounts

By Blaine F. Aikin
For survivor benefits, timing is everything under new Social Security rules
RETIREMENT PLANNING MAR 03, 2016
For survivor benefits, timing is everything under new Social Security rules

The Social Security Administration's file-and-suspend guidance injects some confusion regarding the choice between survivor and retirement benefits.

By Mary Beth Franklin
Oracle Corp. 401(k) plan targeted for excessive fees
RETIREMENT PLANNING MAR 03, 2016
Oracle Corp. 401(k) plan targeted for excessive fees

Oracle's plan and its fiduciaries are the latest to be targeted in a slew of excessive-fee suits to emerge over the past several weeks.

By Greg Iacurci
Richard Ketchum, Finra chief executive, to retire
PRACTICE MANAGEMENT MAR 03, 2016
Richard Ketchum, Finra chief executive, to retire

The brokerage industry's chief regulator will step down in the second half of 2016 after a successor is found.

By Bruce Kelly
RETIREMENT PLANNING MAR 02, 2016
Could employers be the antidote to your student loan burden?

The student loan repayment-retirement savings juggle has never been more difficult, but new benefits could help ease the strain.

By Bloomberg
RETIREMENT PLANNING MAR 01, 2016
This app helps you collect money from your ex — without having to talk to them

With SupportPay, parents can upload a receipt, send the ex a bill, and “never have a conversation,” according to the company's founder.

By Bloomberg
FINTECH MAR 01, 2016
How to attract, and keep, young high-net-worth clients

Five ways advisers can reinvent their customer service to satisfy this new client base.

By James Williams
PRACTICE MANAGEMENT FEB 29, 2016
SEC proposes rule to require business continuity plans for advisers

RIAs would have to prepare ahead for potential business disruptions, including a planner's sudden death.

By Liz Skinner
LIFE INSURANCE AND ANNUITIES FEB 29, 2016
MetLife wins court ruling to remove 'too big to fail' label

Classifying America's biggest life insurer as a systemically important financial institution gets rejected by a federal judge.

By Bloomberg
REGULATION AND LEGISLATION FEB 29, 2016
BNY Mellon agrees to pay Massachusetts $3 million over computer glitch

A Massachusetts Securities Division investigation says the firm failed to calculate net asset values on more than 1,000 funds.

By Alessandra Malito
Aequitas meltdown underscores the importance of due diligence, caution
RIA NEWS FEB 29, 2016
Aequitas meltdown underscores the importance of due diligence, caution

The alternatives platform's collapse underscores the concept that when something looks too good to be true, it probably is.

By Jeff Benjamin
OPINION FEB 29, 2016
Why indexed annuities eventually could outsell the variable variety

The factors influencing a shift toward indexed annuities and away from variable annuities

By Scott Stolz
Microsoft killing support for older Internet Explorer spells trouble for advisers
FINTECH FEB 29, 2016
Microsoft killing support for older Internet Explorer spells trouble for advisers

Microsoft is shutting down support for older versions of Internet Explorer next week, putting advisers who use the software at risk for malware and malicious cyberattacks.

By Alessandra Malito
EQUITIES FEB 26, 2016
Hedging the risk of Congress going after Roth retirement accounts

<i>Breakfast with Benjamin</i> Is it time to start hedging the risk that Congress might renege on its Roth promise?

By Jeff Benjamin
RETIREMENT PLANNING FEB 26, 2016
Rising home prices put a damper on aspirational online real estate searches

Traditionally, buyers browsing online listings have looked at homes that cost more than they are planning to spend, but that has changed in some pricey markets.

By Bloomberg