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INDUSTRY NEWS MAR 30, 2017
Millennials like blend of robo and human advice, though skeptical of advice generally

Whether guided by human or robo, many won't act without consulting someone else first.

By InvestmentNews
RETIREMENT PLANNING MAR 30, 2017
New IRS rules allow a risky, 'silent' protest of the Affordable Care Act

Americans have reasons to think they might get away with not paying what they owe.

By Bloomberg
INDUSTRY NEWS MAR 30, 2017
CedarPoint Investment Advisors acquired by Midland States Bancorp

By Bloomberg
INDUSTRY NEWS MAR 30, 2017
RIAs seeing the upside of formal investment committees

By Jeff Benjamin
REGULATION AND LEGISLATION MAR 30, 2017
Senate bill aims for higher SEC enforcement penalties

The bi-partisan legislation would permit the regulator to pursue larger fines through its administrative process

By Mark Schoeff Jr.
REGULATION AND LEGISLATION MAR 30, 2017
DOL fiduciary rule supporters question agency's quick read of comment letters before sending final delay to OMB

Advocates for the rule say the Trump Department of Labor is moving too quickly.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION MAR 29, 2017
DOL sends final fiduciary rule delay to Office of Management and Budget

The OMB will review the final rule and, if it approves the measure, send it back to the DOL to finalize the delay.

By Greg Iacurci
RETIREMENT PLANNING MAR 29, 2017
10 ways to put extra cash to work to bolster your finances

Certified financial planners offer practical suggestions for using excess cash to get in better financial shape.

By Bloomberg
REGULATION AND LEGISLATION MAR 29, 2017
DOL fiduciary rule changes not one size fits all

Broker-dealer changes affect how advisers can do business.

By Jodie Papike
INDUSTRY NEWS MAR 29, 2017
Advisers managing $463 million join Ameriprise

Six-person group in Atlanta leaves Next Financial; duo in New Jersey leaves UBS.

By InvestmentNews
INDUSTRY NEWS MAR 29, 2017
Broker faces sanctions after alleged email fraud: Finra

By InvestmentNews
REGULATION AND LEGISLATION MAR 29, 2017
Finra bars broker charged in NY pension fund hookers, strippers and drug scandal

The "pay-for-play" bribery scheme involved the $184 billion New York State Common Retirement Fund and payments for hookers, strippers and drugs.

By Bruce Kelly
OPINION MAR 29, 2017
Pooled employer plans set to dominate small 401(k) market

By Fred Barstein
WIREHOUSES MAR 29, 2017
Merrill Lynch shakes up wealth management organization, leadership roles

Two division executives, Don Plaus and Ben Prince, were tapped for new leadership roles and the number of divisions for advisers was cut from 10 to six

By Bruce Kelly
INDUSTRY NEWS MAR 28, 2017
Put the Dow's losing streak in perspective for clients

Despite gains Tuesday, the recent consecutive stock market drops provide prep for conversations during the next downturn.

By John Waggoner
FINTECH MAR 28, 2017
Salesforce adds CRM features to help advisers grow businesses

One new business tool highlights client opportunities

By Liz Skinner
REGULATION AND LEGISLATION MAR 28, 2017
Employee feud scaring clients of Independent Portfolio Consultants

Workers tried to force TAMP into bankruptcy, then pulled petitions, but damage was done. ​ 

By Jeff Benjamin
RIAS MAR 28, 2017
UBS team in Lexington, Ky. leaves to form RIA

Trio that managed $113 million creates Wallace Hart Capital Management.

By InvestmentNews
LIFE INSURANCE AND ANNUITIES MAR 28, 2017
Department of Labor's fiduciary rule blamed for insurers' massive hit on variable annuity sales

By Greg Iacurci
RETIREMENT PLANNING MAR 28, 2017
Record keeper Empower jumps into HSA market, as Fidelity expands

Some view an enhanced participant experience as the "next battleground" for retirement plan record keepers.

By Greg Iacurci