Advisor News

Displaying 26900 results
A new twist on Medicare open enrollment
RETIREMENT PLANNING SEP 30, 2019
A new twist on Medicare open enrollment

The government projects a decline in premiums next year for Medicare Advantage and drug plans.

By Mary Beth Franklin
RETIREMENT PLANNING SEP 28, 2019
Income annuities provide retirees longevity protection

An excerpt from Wade Pfau's new book, 'Safety-First Retirement Planning: An Integrated Approach for a Worry-Free Retirement'

By Wade Pfau
PRACTICE MANAGEMENT SEP 27, 2019
Wells Fargo names BNY Mellon's Charles Scharf CEO

The new CEO will lead the efforts to turn the bank around after a series of scandals.

By Bloomberg
Taxes are one thing – not the 'only' thing
OPINION SEP 27, 2019
Taxes are one thing – not the 'only' thing

Focus on after-tax returns and take advantage of tax-efficient structures when available.

By Aaron Hodari
REGULATION AND LEGISLATION SEP 26, 2019
Invesco seeks SEC approval for ETF designed to thwart copycats

The actively managed funds would keep some of their holdings hidden.

By Bloomberg
REGULATION AND LEGISLATION SEP 26, 2019
The ETF market just got a shot in the arm from D.C.

SEC eases rules that the industry says slowed the issuance of new exchange-traded funds.

By Bloomberg
FINTECH SEP 26, 2019
How regtech is changing compliance at financial firms

Regulation technology spurring changes within departments aimed at meeting financial rules.

By Ryan W. Neal
OPINION SEP 26, 2019
4 ways to build a team that believes in making an impact

Establishing an impact-driven culture creates more room for individual and team fulfillment

By Ron Carson
REGULATION AND LEGISLATION SEP 25, 2019
Experts warn SEC about perils of loosening private offering rules

Older investors and retirement savers could suffer, they say, but alternatives industry representatives tout portfolio diversification advantages.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION SEP 25, 2019
Former California RIA barred, slapped for $1.2 million by SEC

Strong Investment Management had been charged with fraud in a "cherry-picking" scheme.

By InvestmentNews
How financial advisers can serve the gig economy
OPINION SEP 25, 2019
How financial advisers can serve the gig economy

A 'financial wellness adviser' would be better suited to the needs of independent workers.

By Blaine F. Aikin
RETIREMENT PLANNING SEP 25, 2019
Top 10 fiduciary misconceptions among 401(k) plan sponsors

These may be more problematic than fiduciary mistakes

By Fred Barstein
Phony adviser with $172 million in client assets had lots of baggage
REGULATION AND LEGISLATION SEP 24, 2019
Phony adviser with $172 million in client assets had lots of baggage

Airline baggage handler leaned on Facebook to promote his advisory practice, 'Bored at Work.'

By Bruce Kelly
REGULATION AND LEGISLATION SEP 24, 2019
House hearing highlights SEC split on Reg BI

Democratic Rep. Maloney: 'It would weaken long-standing fiduciary standard for investment advisers.'

By Mark Schoeff Jr.
Three Roth conversion traps that should be avoided
RETIREMENT PLANNING SEP 24, 2019
Three Roth conversion traps that should be avoided

Advisers need to be aware of conversion rules so not to cause extra headaches.

By Jamie Hopkins
SoFi refunds investors for tax hit caused by proprietary ETFs
FINTECH SEP 23, 2019
SoFi refunds investors for tax hit caused by proprietary ETFs

Action reminds one expert of SEC requirement regarding improper share classes.

By Ryan W. Neal
Leading expungement attorney accuses Finra staff of trying to influence arbitrators
REGULATION AND LEGISLATION SEP 23, 2019
Leading expungement attorney accuses Finra staff of trying to influence arbitrators

Finra spokeswoman: Case staff advise arbitration panels on rules, procedures

By Mark Schoeff Jr.
What's driving growth in the fixed indexed annuity market?
RETIREMENT PLANNING SEP 23, 2019
What's driving growth in the fixed indexed annuity market?

As consumers began to put more weight on preserving their retirement assets than growing them, fixed indexed annuity sales picked up.

By Todd Giesing
Efforts to block Reg BI likely to lead to delay, confusion
RIA NEWS SEP 21, 2019
Efforts to block Reg BI likely to lead to delay, confusion

Investors cannot wait for the lawsuits to work their way through the courts.

By InvestmentNews
A gap in the high-tech market
FINTECH SEP 20, 2019
A gap in the high-tech market

Wealthiest clients don't have access to best-in-class technology the mass affluent enjoy

By Ryan W. Neal