Advisor News

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PRACTICE MANAGEMENT MAY 29, 2015
SEC seeks public comments on exchange-traded products

Regulator wants feedback on listing, trading and marketing of ETPs.

By Mark Schoeff Jr.
The heavy downer of seeing GDP revised downward
EQUITIES MAY 29, 2015
The heavy downer of seeing GDP revised downward

<i>Breakfast with Benjamin</i>: A downward revision of first quarter GDP can be called an aberration, but that won't make it any less bad.

By Jeff Benjamin
Why advisers need to stop scaring pre-retirees
RETIREMENT PLANNING MAY 29, 2015
Why advisers need to stop scaring pre-retirees

When clients start a financial conversation with decreased confidence and a perceived loss of control, they often resist taking action.

By Mary Beth Franklin
Best practices for retirement plan rollovers
RETIREMENT PLANNING MAY 28, 2015
Best practices for retirement plan rollovers

Advisers can provide basic education on distribution options, even if the Labor Department's proposed fiduciary rules are still murky.

By Darla Mercado
SEC might require more disclosure about SMAs and social media
PRACTICE MANAGEMENT MAY 28, 2015
SEC might require more disclosure about SMAs and social media

Proposed rules would require advisers on their Form ADVs to divulge more about their use of separately managed accounts and social media activities

By Mark Schoeff Jr.
GOP senators to SEC Chief Mary Jo White: No more money needed to examine more advisers
PRACTICE MANAGEMENT MAY 28, 2015
GOP senators to SEC Chief Mary Jo White: No more money needed to examine more advisers

Lawmakers argue that agency hasn't justified a 15% increase for 2016

By Mark Schoeff Jr.
Wealthy millennials using robos for retirement planning
FINTECH MAY 28, 2015
Wealthy millennials using robos for retirement planning

But tax, estate and debt planning not high on their agenda for online financial tools

By Srividya Kalyanaraman
RETIREMENT PLANNING MAY 28, 2015
Integrate college, retirement plans

Calculation of need-based aid involves many factors, including 401(k) and IRA contributions.

By Troy Onink
PRACTICE MANAGEMENT MAY 28, 2015
Fire heats up under Finra's Brokercheck link proposal

Industry heavyweights including Schwab, Wells Fargo and SIFMA bemoan the new Brokercheck link proposal from Finra, saying it is still too costly and vague.

By Mason Braswell
PRACTICE MANAGEMENT MAY 27, 2015
Finra sends broker-compensation proposal to SEC for approval

The measure would require a broker who has transferred to a new firm to send an &#8220;educational communication&#8221; to clients.

By Mark Schoeff Jr.
RETIREMENT PLANNING MAY 27, 2015
Mansions swallow older homes as teardowns rise

Is this gentrification or adding value? A familiar debate over city centers moves to the suburbs.

By Bloomberg
Lessons for advisers from Supreme Court's decision on 401(k) excessive fees lawsuit
RETIREMENT PLANNING MAY 27, 2015
Lessons for advisers from Supreme Court's decision on 401(k) excessive fees lawsuit

A few suggestions for retirement plan advisers who want to protect their clients and themselves as 401(k)s face legal and regulatory scrutiny.

By Darla Mercado
RETIREMENT PLANNING MAY 27, 2015
Social Security's $12.4 million error

Agency overpays spousal benefits to some public employees, underpays others.

By Mary Beth Franklin
Adviser faces nine years in prison for diverting investment funds
PRACTICE MANAGEMENT MAY 27, 2015
Adviser faces nine years in prison for diverting investment funds

Self-styled &#8220;Financial Coach&quot; sentenced to prison term, $3.6 million restitution for fraud.

By Trevor Hunnicutt
Are brokers being branded with a scarlet 'S'?
INDEPENDENT BROKER DEALERS MAY 27, 2015
Are brokers being branded with a scarlet 'S'?

Proponents of a fiduciary standard are ganging up on commission-based advisers through public shaming regarding the Suitability standard.

By Mark Schoeff Jr.
PRACTICE MANAGEMENT MAY 27, 2015
Finra puts onus on clients to find broker recruitment incentives

New proposal would make discovering bonuses for moving a do-it-yourself proposition for investors.

By Mark Schoeff Jr.
RETIREMENT PLANNING MAY 26, 2015
How a financial 'coach' can screw up your life

Anyone can hang out a shingle as a coach, but have they been trained?

By Bloomberg
FINTECH MAY 26, 2015
Find your inner robo

Find out which robo platform best matches your personality

By InvestmentNews Staff
PRACTICE MANAGEMENT MAY 26, 2015
Merrill fined $2.5 million for supervision violations in Massachusetts

Training session did not include discussion of fiduciary requirements when commission-based assets are moved to fee-based accounts

By Srividya Kalyanaraman
Stronghold takes wraps off robo matchmaker
FINTECH MAY 26, 2015
Stronghold takes wraps off robo matchmaker

Firm with ties to self-help guru Tony Robbins unveils PortfolioCheckup.

By Alessandra Malito