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RETIREMENT PLANNING SEP 08, 2017
Consumers struggle to get information following Equifax data breach

The credit reporting service disclosed this week that private information for as many as 143 million people had been compromised.

By Bloomberg
RETIREMENT PLANNING SEP 08, 2017
Need to evacuate because of the storm? Use this checklist to protect your possessions

Undertaking these precautions can provide a greater sense of security and preparedness in the face of an unexpected disaster.

By Geoffrey A. Simon
FINTECH SEP 08, 2017
Hackers were likely targeting credit card numbers in Equifax heist

Company keeps millions of active cards on file.

By Bloomberg
REGULATION AND LEGISLATION SEP 08, 2017
Congressman intends to hold Finra's feet to the fire on how SRO spends fine money

Rep. Brad Sherman said he'd introduce legislation if he had to in order to get Finra to comply.

By Mark Schoeff Jr.
RIAS SEP 08, 2017
Advisory firms have to stop treating all advisers the same

Top performers should be given preference for advancement, according to one consultant.

By Jeff Benjamin
How to appeal higher Medicare premiums
RETIREMENT PLANNING SEP 08, 2017
How to appeal higher Medicare premiums

New monthly Medicare surcharges will go into effect in 2018, but sometimes they can be reversed.

By Mary Beth Franklin
INDUSTRY NEWS SEP 08, 2017
Janney loses rep with $207 million AUM to Wells Fargo

By InvestmentNews
RIAS SEP 08, 2017
With TD Ameritrade about to acquire Scottrade, Tom Bradley is out

Company felt it needed a top manager from Scottrade in merged company.

By Bruce Kelly
RETIREMENT PLANNING SEP 08, 2017
Edison International agrees to pay $13.2 million in 401(k) fee lawsuit

The monetary agreement follows a court ruling last month.

By Greg Iacurci
OPINION SEP 08, 2017
Our best tool against the DOL fiduciary rule is data

We must ensure that regulators and the public hear detailed, quantitative information.

By Dale Brown
RIAS SEP 08, 2017
Mercer acquires RIA with $290 million in AUM

Ray Mignone Associates has offices in Queens, N.Y. and Boynton Beach, Fla.

By Bloomberg
RIAS SEP 07, 2017
Bob Veres predicts new investment model that could give advisers edge over competition

Says advisers might one day get client portfolio advice directly from asset managers.

By Jeff Benjamin
INDUSTRY NEWS SEP 07, 2017
Finra bars former Securities America broker

Bruce Barber failed to provide information about selling unapproved securities.

By Bloomberg
PRACTICE MANAGEMENT SEP 07, 2017
Dawn Bennett's alleged Ponzi a sign of dark times

Is Ms. Bennett's alleged scheme a harbinger of other such frauds?

By Bruce Kelly
REGULATION AND LEGISLATION SEP 07, 2017
Congress likely to 'push down' the priority of killing DOL fiduciary rule

A fiduciary rule repeal isn't as important as other legislative issues, such as the debt ceiling and tax reform, according to Rep. Phil Roe.

By Greg Iacurci
FINTECH SEP 07, 2017
How technology can help advisers manage a new compliance landscape

A technology audit can help ensure your firm is taking the necessary steps to meet new and changing compliance requirements.

By Bloomberg
INDUSTRY NEWS SEP 07, 2017
Finra bars former National Planning rep

Broker William Glaser caused $400,000 loss, claims infirm 76-year-old Navy veteran.

By Bloomberg
REGULATION AND LEGISLATION SEP 07, 2017
House lawmakers grill Finra CEO Robert Cook on fine money, executive pay, transparency

Robert Cook points to the regulator's in-house operational review, Finra 360, and says it will likely yield 'transformational change.'

By Mark Schoeff Jr.
RIAS SEP 07, 2017
SEC says RIA stole $1 million from clients, using some of it to support gambling habit

Scott Newsholme allegedly stole $1 million, using funds for personal expenses, a gambling habit and to pay back early investors.

By InvestmentNews
REGULATION AND LEGISLATION SEP 07, 2017
House holding oversight hearing on Finra today

Financial Services subcommittee will explore self-regulator's agenda, structure and in-house operational review.

By Mark Schoeff Jr.