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RETIREMENT PLANNING AUG 21, 2017
401(k) advisers value active management in some categories, despite indexing craze

Fixed income and emerging markets are areas where active funds make sense, some experts say.

By Bruce Shutan
RETIREMENT PLANNING AUG 21, 2017
Being a millionaire in retirement isn't what it used to be

GOBankingRates report measures how long a million dollars would last for retirees, state by state.

By Bloomberg
REGULATION AND LEGISLATION AUG 20, 2017
Making the most of another delay in the DOL's fiduciary rule

The worst outcome would be if the regulation is gutted after the review.

By crain-api
The future looks very different
FINTECH AUG 19, 2017
The future looks very different

By Evan Cooper
PRACTICE MANAGEMENT AUG 18, 2017
Attorney blasts Finra after regulator loses insider trading case

Lawyer says it was 'slimy' of Finra to publicize the case while it was still being litigated

By Bruce Kelly
RETIREMENT PLANNING AUG 18, 2017
Surprising Social Security rules on divorce

Nuances of the 10-years-of-marriage rule and protections from vengeful spouses.

By Mary Beth Franklin
REGULATION AND LEGISLATION AUG 18, 2017
Fidelity wins arb case against wine mogul but earns a rebuke from Finra

In the case of investor Peter Deutsch, Fidelity doesn't have to pay any compensation, but regulator said firm put its interests ahead of his.

By Bloomberg
FINTECH AUG 18, 2017
Automation: An effective way to enhance marketing success

Five tips on how to successfully deliver content and promote your business.

By Pete Muckley
RETIREMENT PLANNING AUG 18, 2017
The DOL fiduciary rule practically necessitates account aggregation

The more comprehensive the view of client finances, the more prudent the advice.

By Lowell Putnam
RETIREMENT PLANNING AUG 17, 2017
Plaintiffs win in Tibble vs. Edison 401(k) fee case

After a decade of activity around the lawsuit, including a hearing before the U.S. Supreme Court, judge rules a prudent fiduciary would have invested in institutional shares.

By Robert Steyer
PRACTICE MANAGEMENT AUG 17, 2017
Advisers get more breathing room to make Form ADV changes

RIAs can enter '0' in some new parts of the document before their annual filing next year.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION AUG 17, 2017
SEC suspends former ARCP accounting officer Lisa McAlister

Ms. McAlister 'manipulated and falsely reported' a key financial metric, agency charges.

By InvestmentNews
WIREHOUSES AUG 17, 2017
Plenty of advisers eager to scoop up 'orphaned' accounts

A central argument against the DOL fiduciary rule is that investors with smaller accounts will be abandoned. But many advisers stand ready to serve them.

By Bruce Kelly
INDUSTRY NEWS AUG 17, 2017
Morgan Stanley broker among five arrested in $5 million insider trading case

Bank of America insider provided tips on major M&A transactions

By InvestmentNews
REGULATION AND LEGISLATION AUG 17, 2017
Fiduciary double standard gives robos a free ride

What if a human adviser dispensed portfolio recommendations based solely on the answers to 10 or 12 written questions?

By Scott MacKillop
PRACTICE MANAGEMENT AUG 17, 2017
5 non-money-related books to help you (and your children) live a better financial life

There's still time left for end-of-summer reading.

By Joe Duran
RIAS AUG 16, 2017
Mercer Advisors acquires Blue Moon Wealth Advisory

Mercer manages about $11 billion in assets, while Blue Moon manages $90 million.

By InvestmentNews
RETIREMENT PLANNING AUG 16, 2017
Fired UBS adviser revives Palm Beach scandal

Craig Price claims he was fired for speaking up about the abuse of a trust fund.

By Bloomberg
PRACTICE MANAGEMENT AUG 16, 2017
Since banking scandal, Wells Fargo advisers with more than $19.2 billion leave firm

Despite a trying year, the firm has said it will sweeten signing bonuses for veteran advisers.

By Bruce Kelly
RETIREMENT PLANNING AUG 16, 2017
Baby boomers dominate housing market, leaving millennials out in the cold

A simmering conflict is brewing between the two biggest generations in U.S. history.

By Bloomberg