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BlackRock, Vanguard not that supportive of shareholder ESG resolutions
ESG NOV 30, 2020
BlackRock, Vanguard not that supportive of shareholder ESG resolutions

BlackRock voted in favor of just 11% of climate resolutions in the 12 months ended in August, while Vanguard voted in favor of 15%

By InvestmentNews
Last call for coronavirus-related distributions
IRA ALERT NOV 30, 2020
Last call for coronavirus-related distributions

CRDs are only available until year-end, so advisers should contact any clients who may still benefit from taking a distribution before the option expires

By Ed Slott
Diversity among those developing financial products and services is crucial to full engagement
OPINION NOV 30, 2020
Diversity among those developing financial products and services is crucial to full engagement

Need inclusive culture to help attract and retain investors of the future

By Lule Demmissie
Why hosting a two-day retreat is critical to your 2021 success
OPINION NOV 30, 2020
Why hosting a two-day retreat is critical to your 2021 success

You'll need new ideas to take your business to the next level, and you need time to develop those ideas

By Erin Botsford
San Diego hybrid managing $250 million returns to LPL
BROKER DEALERS NOV 30, 2020
San Diego hybrid managing $250 million returns to LPL

Nautica Wealth Advisors had moved with its OSJ to Cetera for three years

By InvestmentNews
SEC settles with RIA involved in $3 million Ponzi scheme
RIAS NOV 30, 2020
SEC settles with RIA involved in $3 million Ponzi scheme

Craig Rumbaugh and his California-based firms will pay $1 million for misleading investors

By InvestmentNews
S&P to buy IHS Markit for $39 billion
INDUSTRY NEWS NOV 30, 2020
S&P to buy IHS Markit for $39 billion

The deal accelerates the wave of consolidation among the finance industry’s biggest data providers

By Bloomberg
Tesla FOMO puts focus on direct indexing
INDUSTRY NEWS NOV 30, 2020
Tesla FOMO puts focus on direct indexing

The electric car maker is about to join the S&P, but investors in S&P 500 index funds have missed a huge rally in the company’s shares

By Bloomberg
Morningstar makeover confirms I need to keep leaning on stocks
INDUSTRY NEWS NOV 30, 2020
Morningstar makeover confirms I need to keep leaning on stocks

Lessons learned after letting Christine Benz analyze the way I save for retirement

By Jeff Benjamin
Work-life balance is harder for women in the pandemic
PRACTICE MANAGEMENT NOV 27, 2020
Work-life balance is harder for women in the pandemic

According to a new InvestmentNews Research survey, women were twice as likely to be working longer hours than a year ago

By Devin McGinley
Two sponsors settle 401(k) cases, Victoria's Secret owner sued
RETIREMENT PLANNING NOV 25, 2020
Two sponsors settle 401(k) cases, Victoria's Secret owner sued

A grocery chain is paying $17.5 million in one case, and a pharmaceutical company is shelling out more than $2.5 million in another

By Emile Hallez
Challenging all to play their role in improving diversity and inclusion
OPINION NOV 25, 2020
Challenging all to play their role in improving diversity and inclusion

Consider the role we can play in creating the radical change needed to improve diversity, inclusion and belonging

By Marg Franklin
Create a strong network of supporters to help combat impostor syndrome
OPINION NOV 25, 2020
Create a strong network of supporters to help combat impostor syndrome

You can call it self-doubt, lack of confidence or — as RuPaul would put it — your 'inner saboteur'

By Phuong Luong
Focus energy on helping yourself and care for those around you
OPINION NOV 25, 2020
Focus energy on helping yourself and care for those around you

I haven’t been on a plane for months, but remember the many times flight attendants tell us to 'put your mask on before helping others'

By Elissa Buie
Keeping clients on track in an era of uncertainty
OPINION NOV 25, 2020
Keeping clients on track in an era of uncertainty

Majority of investors surveyed say the events of the last six months have made them less likely to take risks

By Chris Blunt
Labor Department sends fiduciary rule update to OMB
RETIREMENT PLANNING NOV 25, 2020
Labor Department sends fiduciary rule update to OMB

Approval may be moot as the new administration could easily quash it

By InvestmentNews
Social Security shortchanged some older workers, survivors
RETIREMENT PLANNING NOV 25, 2020
Social Security shortchanged some older workers, survivors

Two new audits reveal underpayments to certain groups of beneficiaries

By Mary Beth Franklin
Gig workers could get stock under SEC proposal
PRACTICE MANAGEMENT NOV 25, 2020
Gig workers could get stock under SEC proposal

Plan would allow drivers, people who deliver food and other gig workers to receive up to 15% of their compensation in shares

By Bloomberg
3 tips for customizing client communication
OPINION NOV 24, 2020
3 tips for customizing client communication

Being armed with the data that allow you to target your customization efforts is essential

By David Mehlhorn
DOL lifetime income rule under fire from lawmaker
RETIREMENT PLANNING NOV 24, 2020
DOL lifetime income rule under fire from lawmaker

Sen. Richard Neal, D-Mass., criticized the measure for not including an assumption that 401(k) balances appreciate

By Emile Hallez