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RETIREMENT PLANNING FEB 26, 2015
Should you use prepaid college tuition plans?

As more schools sign on, the guarantees and tuition cost savings grow more attractive.

By Liz Skinner
RIAS FEB 26, 2015
Seeing writing on wall from Finra, Schwab throws in towel on class action lawsuit

As regulator made it clear it was ready to fight tooth and nail, firm moves to settle, pay a fine.

By Mark Schoeff Jr.
RETIREMENT PLANNING FEB 25, 2015
SIFMA claims White House figures on DOL rule flawed

A new paper by the organization concludes $17 billion estimate of lost retirement savings not substantiated.

By Liz Skinner
WIREHOUSES FEB 25, 2015
Morgan Stanley suppresses 'Hunger Games' video

Charges <i>InvestmentNews</i> violated copyright laws by posting it on its website

By Mason Braswell
FINTECH FEB 25, 2015
Are you making a mountain out of joining social media?

Why some financial advisers still reject a proven marketing tool.

By Craig Faulkner
INDUSTRY NEWS FEB 25, 2015
Gross giving himself four years to re-establish track record

Money manager who jumped to Janus Capital in September from the bond giant he co-founded, says he'll keep trading for the next two to four years to prove he can still beat the market.

By Bloomberg
Gundlach tests ETF waters with new active fund
ETFS FEB 25, 2015
Gundlach tests ETF waters with new active fund

Rock star portfolio manager's new addition is the 26th exchange-traded fund launched this year but is possibly the most important as test of active management.

By Bloomberg
LPL to cut bonuses to employees, top management
BROKER DEALERS FEB 25, 2015
LPL to cut bonuses to employees, top management

Top executives at the firm are among those facing smaller bonuses after a year of discouraging financial results.

By Bruce Kelly
401(k) challenge: Plugging plan leakage when workers change jobs
RETIREMENT PLANNING FEB 25, 2015
401(k) challenge: Plugging plan leakage when workers change jobs

Improved 401(k) plan features have proven successful, but a big challenge remains: how to plug the leakage in plan assets when workers switch jobs.

By Mary Beth Franklin
SEC's Michael Piwowar slams Finra data-collection proposal
PRACTICE MANAGEMENT FEB 25, 2015
SEC's Michael Piwowar slams Finra data-collection proposal

Republican Piwowar criticizes Finra's plan for a massive brokerage data collection mechanism, asking whether it's a &quot;solution in search of a problem.&quot;

By Mark Schoeff Jr.
IRA ALERT FEB 25, 2015
2010 Roth conversions are now penalty-free

With the five-year period satisfied, many clients meet the requirements for qualified distributions

By Ed Slott
PRACTICE MANAGEMENT FEB 25, 2015
UBS, Merrill increase bonuses for new assets and banking referrals

2015 compensation plans push advisers to build their AUM and refer clients to the bank

By Mason Braswell
REGULATION AND LEGISLATION FEB 25, 2015
Regulators going postal over alleged price gouging

Regulators are steamed by B-Ds that mark up postage charges to clients. You can't blame them. In some cases, brokerages are socking customers up to $75 per transaction.

By Bruce Kelly
Good News: FPA has attracted 1,600 students to its “externship” program
INDUSTRY NEWS FEB 24, 2015
Good News: FPA has attracted 1,600 students to its “externship” program

Hannah Moore of Guiding Wealth describes how the Financial Planning Association is helping students experience the financial advice business without internships this year

By InvestmentNews
COVID-19: Standing at the crossroads of health and wealth
RETIREMENT PLANNING FEB 24, 2015
COVID-19: Standing at the crossroads of health and wealth

Joe Boan of Transamerica joins Mary Beth Franklin to discuss how challenges of a public health pandemic and its devastating impact on our economy will impact advisers, clients and their nest egg.

By InvestmentNews
RETIREMENT PLANNING FEB 24, 2015
New areas for 401(k) lawsuits emerge

A new array of developing legal risks awaits unwary retirement plans and their advisers.

By Darla Mercado
WIREHOUSES FEB 24, 2015
Morgan Stanley shuffles leadership in wealth unit

Co-head of global capital markets, Raj Dhanda, to lead investment products and services.

By Bloomberg
RIAS FEB 24, 2015
Schwab must face adviser's lawsuit after all: appellate court

Judges said the firm must face a class-action lawsuit on mortgage debt in bond funds.

By Trevor Hunnicutt
FIXED INCOME FEB 24, 2015
Fed Vice Chair Fischer says rate hike most likely June or September

Federal Vice Chairman Fischer says the central bank is most likely to raise interest rates in June or September, although economic developments might warrant different timing for liftoff.

By Bloomberg
FINTECH FEB 24, 2015
This week on social media with advisers

The White House and Department of Labor announced a push for fiduciary standards, the president gave adviser Sheryl Garrett a shout out and advisers responded to Morgan Stanley's leaked take on the Hunger Games.

By Alessandra Malito