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Republicans likely fared better than Dems in market boom
INDUSTRY NEWS OCT 01, 2018
Republicans likely fared better than Dems in market boom

Paper by the National Bureau of Economic Research shows Republicans invested more in U.S. stocks following election of Trump.

By Bloomberg
RETIREMENT PLANNING OCT 01, 2018
The Value of a Client Advisory Board

Ready to grow? Start asking clients for feedback.

By Gillian Albert
FINTECH OCT 01, 2018
Learn the Basics of Financial Education Services

Financial literacy – it starts with you!

By Gillian Albert
Long-term-care insurance gets a boost, but there's more to do
RETIREMENT PLANNING SEP 29, 2018
Long-term-care insurance gets a boost, but there's more to do

Kudos to the NAIC for making LTC policies safer.

By crain-api
Time to get inspired by incredible advisers
INDUSTRY NEWS SEP 29, 2018
Time to get inspired by incredible advisers

Financial professionals give hours, money and innovative ideas to help others

By Bloomberg
Global cities most at risk of property bubbles
INDUSTRY NEWS SEP 28, 2018
Global cities most at risk of property bubbles

Hong Kong leads this year's list, which also includes Munich and Toronto.

By Bloomberg
Merrill Lynch no longer will accept penny stock trades
WIREHOUSES SEP 28, 2018
Merrill Lynch no longer will accept penny stock trades

Action comes as SEC continues crackdown on low-priced securities.

By Bruce Kelly
An adviser's guide to Medicare open enrollment
RETIREMENT PLANNING SEP 28, 2018
An adviser's guide to Medicare open enrollment

Encourage clients to review their drug coverage and Advantage plans for 2019.

By Mary Beth Franklin
Focus Financial acquires TAMP for $235 million
RIAS SEP 28, 2018
Focus Financial acquires TAMP for $235 million

Deal for Loring Ward Holdings is one of the largest transactions in Focus' history, company's chairman and CEO said

By Greg Iacurci
FPA splits with CFP Board over state regulation of financial planners
REGULATION AND LEGISLATION SEP 28, 2018
FPA splits with CFP Board over state regulation of financial planners

FPA seeks policy influence at state, federal levels; CFP Board thinks states should not get involved, and NAPFA agrees.

By Mark Schoeff Jr.
FINTECH SEP 28, 2018
SEC adds cybersecurity bite to its bark

Regulators are done warning firms about data security and Voya receives a first nip.

By Ryan W. Neal
John Hancock testing wellness programs for long-term-care policyholders
RETIREMENT PLANNING SEP 28, 2018
John Hancock testing wellness programs for long-term-care policyholders

The insurer, which recently doubled down on a strategy to encourage healthy living among life-insurance clients, is now doing the same on the LTC side.

By Greg Iacurci
Health-care planning presents an opportunity for advisers
RETIREMENT PLANNING SEP 27, 2018
Health-care planning presents an opportunity for advisers

New tools calculate costs, potential savings and solutions.

By Mary Beth Franklin
REGULATION AND LEGISLATION SEP 27, 2018
CFP Board asks advisers how to offer guidance on revised standards

At a public forum in New York, advisers ask for help understanding how new fiduciary standard applies in practice.

By Ryan W. Neal
Finra fines up, but restitutions plummet in first half of 2018
REGULATION AND LEGISLATION SEP 27, 2018
Finra fines up, but restitutions plummet in first half of 2018

Only $4.9 million in restitutions were ordered during the first half of 2018, down sharply from the $38.1 million ordered in the same period in 2017.

By Bloomberg
New Jersey brokers expect industry will push back against fiduciary rule proposal
REGULATION AND LEGISLATION SEP 27, 2018
New Jersey brokers expect industry will push back against fiduciary rule proposal

Brokerage executives expect the industry to put up a fight against the rule, which they say will lead to a complex web of compliance.

By Greg Iacurci
House approves retirement-savings bill that eases use of annuities in workplace plans
RETIREMENT PLANNING SEP 27, 2018
House approves retirement-savings bill that eases use of annuities in workplace plans

Supporters hope Senate will move similar legislation to increase chances in lame-duck session

By Mark Schoeff Jr.
Be inspired by incredible advisers and firms' charitable efforts
INDUSTRY NEWS SEP 27, 2018
Be inspired by incredible advisers and firms' charitable efforts

Advisers, firms win for leadership at the 12th annual Invest in Others Awards.

By Sarah Min
Transition Success: 5 Keys to a Smooth Journey
PRACTICE MANAGEMENT SEP 27, 2018
Transition Success: 5 Keys to a Smooth Journey

For advisors considering a move, these five elements can help guide your practice to a successful transition.

By Gillian Albert
SEC advice rule falls short on investor protection, lawmaker asserts
REGULATION AND LEGISLATION SEP 26, 2018
SEC advice rule falls short on investor protection, lawmaker asserts

Rep. Stephen Lynch notes Dodd-Frank provision authorizing SEC to impose uniform standard 'no less stringent' than fiduciary duty.

By Mark Schoeff Jr.