Advisor News

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ETFs that worry Wall Street regulators rake in billions
MUTUAL FUNDS JUL 25, 2022
ETFs that worry Wall Street regulators rake in billions

The products are a growing corner of the almost $6.4 trillion industry, defying words of caution issued by the Securities and Exchange Commission and others.

By Bloomberg
Alts groups oppose state regulators' REIT reform
ALTERNATIVES JUL 25, 2022
Alts groups oppose state regulators' REIT reform

The changes include raising the net-income and net-worth thresholds for purchases and imposing a portfolio concentration limit.

By Mark Schoeff Jr.
Worried about the growth of inflation? It may be time to buy the farm!
RETIREMENT PLANNING JUL 25, 2022
Worried about the growth of inflation? It may be time to buy the farm!

Investing in farmland has long been overlooked, primarily because most investors have little to no clue about how to access it.

By Gregg Greenberg
BPAS updates financial planning tool for participants
RETIREMENT PLANNING JUL 25, 2022
BPAS updates financial planning tool for participants

Roadways Mile Marker 2.0 adds real-time updates and projections to present a bigger picture of each participant's overall financial health.

By InvestmentNews
Pushing to bolster retirement readiness with SECURE 2.0
OPINION JUL 25, 2022
Pushing to bolster retirement readiness with SECURE 2.0

The legislation is a necessary step to ensure that more and more Americans can live comfortably once they stop working.

By Dale Brown
Carson Group snags another exec from LPL
RIA NEWS JUL 25, 2022
Carson Group snags another exec from LPL

Former LPL exec Burt White recruits Ryan Detrick for Carson Group's newly created role of chief market strategist.

By Jeff Benjamin
The message is compliance
FINTECH JUL 25, 2022
The message is compliance

The substantial fines hitting big banks for failing to meet messaging-retention requirements shows the need for direction from the top to ensure the use of monitoring systems.

By InvestmentNews
Overreach or on point? Gensler’s agenda debated
REGULATION AND LEGISLATION JUL 25, 2022
Overreach or on point? Gensler’s agenda debated

The SEC's rulemaking roster includes 27 in the proposal stage and 26 in the final stage — giving everyone plenty of favorites and targets.

By Mark Schoeff Jr.
Can your DC plan take a punch?
RETIREMENT PLANNING JUL 25, 2022
Can your DC plan take a punch?

Record inflation and 401(k) statement shock could send some retirement plans down for the count.

By Gregg Greenberg
The best robo-advisers of 2022 so far
FINTECH JUL 24, 2022
The best robo-advisers of 2022 so far

Condor Capital grades the best robo-advisers across 45 metrics, including financial planning, access to human advisers and cost.

By Ryan W. Neal
SEC fines Private Advisor Group $5.8 million for using high-fee mutual funds
INDEPENDENT BROKER DEALERS JUL 22, 2022
SEC fines Private Advisor Group $5.8 million for using high-fee mutual funds

It's the latest action in the SEC's long-running campaign to crack down on disclosure and best-execution failures involving 12b-1 fees.

By Mark Schoeff Jr.
Is the shortfall in retirement savings in America being greatly exaggerated?
RETIREMENT PLANNING JUL 22, 2022
Is the shortfall in retirement savings in America being greatly exaggerated?

InvestmentNews talks with David Musto, CEO of Ascensus, about whether Americans are being overly negative in their assessment of their retirement savings.

By Gregg Greenberg
Ex-Coinbase manager arrested in crypto insider-trading case
ALTERNATIVES JUL 22, 2022
Ex-Coinbase manager arrested in crypto insider-trading case

Ishan Wahi allegedly leaked information to his brother and a friend about when tokens were about to be listed on the exchange.

By Bloomberg
Soothing client concerns about their investments during mergers
OPINION JUL 22, 2022
Soothing client concerns about their investments during mergers

Let's face it, virtually no two firms have the precise same offerings. However, the partnership can work if the firms have complementary investment philosophies.

By Andy Stout
Why ESG funds are used haphazardly in 401(k)s
RETIREMENT PLANNING JUL 22, 2022
Why ESG funds are used haphazardly in 401(k)s

Savers often randomly choose investments, but the future for ESG in retirement plans might still be strong.

By Emile Hallez
UBS loses two more arbitration cases centering on YES options strategy
ALTERNATIVES JUL 21, 2022
UBS loses two more arbitration cases centering on YES options strategy

The firm was ordered to pay more than $450,000 in total this week in separate complaints about the complex product.

By Mark Schoeff Jr.
FPA to push for 'financial planner' title protection
PRACTICE MANAGEMENT JUL 21, 2022
FPA to push for 'financial planner' title protection

Legal recognition of the title is 'a critical step in recognizing financial planning as a distinct, essential profession,' the organization said.

By Bruce Kelly
Inflation, Covid stoking retirement savings fears, says Nationwide survey
RETIREMENT PLANNING JUL 21, 2022
Inflation, Covid stoking retirement savings fears, says Nationwide survey

Two-thirds of Americans worry more now than they did last year about their retirement income, and 70% are concerned that Social Security will run out of funding.

By Gregg Greenberg
All rise! 401(k) legal battles set to surge in second half of year
RETIREMENT PLANNING JUL 20, 2022
All rise! 401(k) legal battles set to surge in second half of year

A couple of major court rulings may lead to more litigation related to defined-contribution retirement plans.

By Gregg Greenberg
Is this the death of 60/40?
OPINION JUL 20, 2022
Is this the death of 60/40?

So far this year, the 60/40 portfolio has posted its worst performance in over 60 years, as both stocks and bonds sold off.

By Rick Bookstaber