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INDUSTRY NEWS FEB 06, 2018
Stock market sell-off: Takeaways to share with clients

Those hoping the mini-crash will solve the active vs. passive debate will have to wait a bit longer. But advisers who touted the advantages of diversification have lots to crow about.

By John Waggoner
INDUSTRY NEWS FEB 06, 2018
Stock market reaction: Investment managers interpret Dow plunge

Monday's largest intraday point drop ever sparks lots of comments on what's ahead.

By Liz Skinner
REGULATION AND LEGISLATION FEB 06, 2018
Bitcoin bubble burst raises concerns from lawmakers, regulators about investors

Senate panel questions SEC's Clayton on cryptocurrency's staggering rise and fall, which has dwarfed the stock market drop.

By Mark Schoeff Jr.
EQUITIES FEB 05, 2018
Time to add commodities to client portfolios?

The combination of low unemployment and fast economic growth could spell gains.

By John Waggoner
BROKER DEALERS FEB 05, 2018
Eight brokerage firms urge CFP Board to delay new fiduciary standards

Ameriprise, AXA Advisors, Edward Jones, LPL, Morgan Stanley, RBC, Wells Fargo and UBS call on organization to stand down until SEC proposes its own rule later this year.

By Mark Schoeff Jr.
RETIREMENT PLANNING FEB 05, 2018
Most defined-contribution executives not aware of their fiduciary duties

Recent surveys highlight troubling gaps that reduce operational efficiency and increase risks of ERISA lawsuits.

By Robert Steyer
INDUSTRY NEWS FEB 05, 2018
LPL rep managing $186 million joins Ameriprise

Neil Bailey and team switch to employee channel in Cincinnati.

By InvestmentNews
ALTERNATIVES FEB 05, 2018
Seller of alternative investments in fight over car dealerships

GPB Capital sued a former business partner, alleging he reneged on a transaction

By Bruce Kelly
REGULATION AND LEGISLATION FEB 03, 2018
Despite a pumped economy, Trump's approval remains low

Leadership style is a big factor in rallying unity to attain policy goals.

By crain-api
RETIREMENT PLANNING FEB 02, 2018
Behind the scenes on the world's biggest cruise

Code words, subliminal messaging and extra ketchup for Americans.

By Bloomberg
RETIREMENT PLANNING FEB 02, 2018
Timing is crucial for Social Security and Medicare

Picking the wrong date could cost you benefits or trigger penalties.

By Mary Beth Franklin
RIAS FEB 02, 2018
In case of Ariel v. Ariel, the little Ariel triumphs

RIA that was sued by asset manager wins case on appeal

By Bloomberg
RIAS FEB 02, 2018
Disclosure not the solution for a fiduciary standard, industry reps agree

Executives representing RIAs and brokers said they expect to see the SEC come up with a proposal this year, but not adoption.

By Jeff Benjamin
RETIREMENT PLANNING FEB 02, 2018
The verdict is in on standing desks

You burn more calories standing than sitting — but not that many.

By Bloomberg
INDUSTRY NEWS FEB 02, 2018
UBS adviser managing $200 million moves to Alex. Brown

Andrew Hutcheson joins Raymond James unit in Los Angeles.

By InvestmentNews
ALTERNATIVES FEB 02, 2018
Senate bill gives BDCs hope for increased leverage

Legislation would allow business development companies to increase debt-to-equity ratio to 2:1, up from 1:1.

By Mark Schoeff Jr.
INDUSTRY NEWS FEB 02, 2018
Dow tumbles 665 points in biggest plunge since 2016

Worsening bond rout stirs angst of accelerated rate-hike.

By Bloomberg
REGULATION AND LEGISLATION FEB 02, 2018
Former IFS broker barred for fraudulent, private deals

Finra says Francis Joseph Gendlek caused investors to lose $620,000.

By InvestmentNews
WIREHOUSES FEB 01, 2018
Morgan Stanley sued for racial bias

Suit from former wealth manager comes a decade after the bank's settlement of class-action discrimination lawsuit.

By Bloomberg
RIAS FEB 01, 2018
Number of RIA deals down in 2017, new report says

TD Ameritrade Institutional's latest benchmarking report blamed the distraction of the tax reform bill for a slowdown in the fourth quarter.

By Jeff Benjamin