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COVID-19 could prompt more 401(k) cash-outs
RETIREMENT PLANNING MAR 25, 2020
COVID-19 could prompt more 401(k) cash-outs

The market dive is likely to result in more early withdrawals and borrowing from retirement plans, particularly by people who don't have access to financial advice

By Emile Hallez
Advice firms will move more workers home
PRACTICE MANAGEMENT MAR 25, 2020
Advice firms will move more workers home

As businesses adapt to getting things done during the pandemic, the future of work looks more remote than ever

By Jeff Benjamin
White House, senators strike deal on $2 trillion stimulus package
REGULATION AND LEGISLATION MAR 25, 2020
White House, senators strike deal on $2 trillion stimulus package

The measure includes $500 billion to back loans and assistance to companies and more than $360 billion to aid small businesses

By Bloomberg
Wells Fargo to give extra pay to most U.S. workers amid crisis
PRACTICE MANAGEMENT MAR 24, 2020
Wells Fargo to give extra pay to most U.S. workers amid crisis

The bank will make payments to workers who earn less than $100,000 and were employed by Wells for all of 2019

By Bloomberg
Remote regulation to add new hurdles
PRACTICE MANAGEMENT MAR 24, 2020
Remote regulation to add new hurdles

Working from home would mean depending on telephone, video or online outreach

By Mark Schoeff Jr.
3 Questions: Bear markets with John Forlines
INDUSTRY NEWS MAR 24, 2020
3 Questions: Bear markets with John Forlines

The chief investment officer at W.E. Donoghue & Co. talks about how event-driven bear markets are different

By InvestmentNews
How COVID-19 is driving new financial planning business
RETIREMENT PLANNING MAR 24, 2020
How COVID-19 is driving new financial planning business

Many investors who have lost money during the pandemic are seeking out financial advice for the first time

By Emile Hallez
10 fastest-growing IBDs
OPINION MAR 24, 2020
10 fastest-growing IBDs

The independent broker-dealers that posted the biggest growth in 2019

By InvestmentNews
Senators can’t rely on 'my adviser did it' excuse to dodge insider-trading questions
REGULATION AND LEGISLATION MAR 24, 2020
Senators can’t rely on 'my adviser did it' excuse to dodge insider-trading questions

Former SEC enforcement official says lawmakers should have set up blind trusts or automated trading

By Mark Schoeff Jr.
Three advisers managing $100 million affiliate with LPL
BROKER DEALERS MAR 24, 2020
Three advisers managing $100 million affiliate with LPL

Shawn Walton, Debbie Hawksworth and Richard Coloni are joining OSJ Synergy Wealth in Central Florida

By InvestmentNews
Communicate or get kicked to the curb
RIAS MAR 24, 2020
Communicate or get kicked to the curb

Communicate with your clients immediately, whether it's with a call, a text or an email – or face the consequences

By Bruce Kelly
What RIAs need to do when coronavirus keeps changing the rules
OPINION MAR 24, 2020
What RIAs need to do when coronavirus keeps changing the rules

A step-by-step account of how Allworth outfitted itself against a novel virus

By Scott T. Hanson
Scams targeting seniors are incorporating COVID-19 concerns
OPINION MAR 24, 2020
Scams targeting seniors are incorporating COVID-19 concerns

The SEC and Finra have posted warnings about frauds that play off the pandemic

By Josh Jones and Taylor Anderson
SEC goes after barred Ohio adviser for violating order
RIAS MAR 24, 2020
SEC goes after barred Ohio adviser for violating order

Brandon Copeland created a new firm and failed to pay penalty

By InvestmentNews
10 IBDs with the highest average payouts
BROKER DEALERS MAR 24, 2020
10 IBDs with the highest average payouts

The independent broker-dealers that paid the most in 2019

By InvestmentNews
6 reminders for clients about the COVID-19 downturn
PRACTICE MANAGEMENT MAR 23, 2020
6 reminders for clients about the COVID-19 downturn

Amid the pandemic and the stock sell-off, frightened clients need reassurance. Here's some helpful advice to give them during these turbulent times

By InvestmentNews Staff
Investing styles will take on an active approach
EQUITIES MAR 23, 2020
Investing styles will take on an active approach

A bear market could lead to more hands-on investing, but advisers haven't had to beat the market in more than a decade

By Sean Allocca
Dispatch from my bunker
RETIREMENT PLANNING MAR 23, 2020
Dispatch from my bunker

Here's how I'm coping during the pandemic. I'm asking InvestmentNews readers to share their stories of how they're coping

By Mary Beth Franklin
Recession would slow state auto-IRAs, MEPs
RETIREMENT PLANNING MAR 23, 2020
Recession would slow state auto-IRAs, MEPs

Programs will remain viable but will take longer to build assets as gig workers and small businesses struggle to stay afloat, leaders said

By Emile Hallez
Moody's cites revenue concerns on three large IBDs
BROKER DEALERS MAR 23, 2020
Moody's cites revenue concerns on three large IBDs

LPL, Cetera and Advisor Group are bellwethers for the independent broker-dealer industry

By Bruce Kelly