Advisor News

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Investors win $975,000 in Finra arbitration involving UBS YES product
ALTERNATIVES JUN 24, 2022
Investors win $975,000 in Finra arbitration involving UBS YES product

Their attorney, Jeffrey Erez, said they were misled by UBS brokers who didn't understand the risky product.

By Mark Schoeff Jr.
The complexities of investing in alternatives
OPINION JUN 24, 2022
The complexities of investing in alternatives

Advisory firms' challenges when it comes to alts range from getting access to investments, meeting minimums, figuring out how to subscribe and the headache of performance reporting.

By Matt Sonnen
Finra sets big change in motion with new option for licensing grace period
PRACTICE MANAGEMENT JUN 23, 2022
Finra sets big change in motion with new option for licensing grace period

The new Maintaining Qualifications Program reconciles Finra licensing requirements with common career and family timelines.

By Joanne Cleaver
Middle-income Americans' big question: To contribute or not to contribute?
RETIREMENT PLANNING JUN 23, 2022
Middle-income Americans' big question: To contribute or not to contribute?

As rising costs cause many to contemplate lifestyle shifts, one question that keeps popping up is whether the spending cuts should include investing for retirement.

By Gregg Greenberg
Study shows retirement regret over too much spending, too little planning
RETIREMENT PLANNING JUN 23, 2022
Study shows retirement regret over too much spending, too little planning

70% of retirees would advise saving or investing more or earlier, according to a new EBRI study.

By Gregg Greenberg
Finra hits National Securities with $9 million penalty
ALTERNATIVES JUN 23, 2022
Finra hits National Securities with $9 million penalty

The regulator sanctioned the broker-dealer for violations related to its marketing of securities it had underwritten and failings related to sales of GPB private placements.

By Bruce Kelly
Bank of America deepens ties to iCapital alts platform with strategic investment
EQUITIES JUN 23, 2022
Bank of America deepens ties to iCapital alts platform with strategic investment

The bank joins a long list of financial backers funding the $130 billion tech-savvy platform for investing in alternatives.

By Jeff Benjamin
SEC to propose new rules for online brokers’ game-like features
FINTECH JUN 23, 2022
SEC to propose new rules for online brokers’ game-like features

SEC Chair Gary Gensler has raised concerns with how features closely associated with the mobile phone apps offered by brokers can impact trading.

By Bloomberg
What millennials should expect from Social Security
RETIREMENT PLANNING JUN 22, 2022
What millennials should expect from Social Security

A projected 20% benefit cut in 2035 could significantly reduce lifetime income for younger workers, according to a new paper from HealthView Services.

By Mary Beth Franklin
Another Senate committee unanimously passes retirement savings legislation
RETIREMENT PLANNING JUN 22, 2022
Another Senate committee unanimously passes retirement savings legislation

The bill would raise the RMD age from 72 to 75, increase catch-up contributions and allow retirement plan matches for student loan payments. It will be combined with another recently advanced Senate measure.

By Mark Schoeff Jr.
Economic uncertainty puts alternative investments front and center
RIA NEWS JUN 22, 2022
Economic uncertainty puts alternative investments front and center

Financial advisers say clients are asking about alternatives to the standard investments in stocks and bonds.

By Jeff Benjamin
Generating tax alpha takes much more than tax harvesting
OPINION JUN 22, 2022
Generating tax alpha takes much more than tax harvesting

Other practices that help limit investors' taxes include asset location, rebalancing and maximizing retirement income.

By Jack Sharry
Retirement benefits key to attracting new hires: TIAA survey
RETIREMENT PLANNING JUN 22, 2022
Retirement benefits key to attracting new hires: TIAA survey

For the more than 30% of employees who say they're considering a job switch, benefits programs are often a 'crucial factor.'

By Gregg Greenberg
SEC’s climate disclosure proposal hits nerves
REGULATION AND LEGISLATION JUN 22, 2022
SEC’s climate disclosure proposal hits nerves

Sustainable investors say it should go further while opponents claim the SEC lacks authority to pass a rule.

By Emile Hallez
Advisor Group rolls with another B-D acquisition
INDEPENDENT BROKER DEALERS JUN 22, 2022
Advisor Group rolls with another B-D acquisition

The deal for American Portfolios Financial Services Inc., a New York independent broker-dealer, brings Advisor Group 850 advisers who oversee close to $40 billion in client assets.

By Bruce Kelly
Is your custodian or IBD holding you back?
OPINION JUN 22, 2022
Is your custodian or IBD holding you back?

Some custodians and IBDs will require that an advisory firm move its assets off their platform if the firm is acquired or merges with one of the consolidators.

By Scott Hanson
Accelerate inclusion by adopting agile strategies
OPINION JUN 22, 2022
Accelerate inclusion by adopting agile strategies

Methods honed by the tech and manufacturing industries are surprisingly relevant and effective for workplace culture

By Ana Trujillo Limon
The trouble with tech integration
RIA NEWS JUN 21, 2022
The trouble with tech integration

More than half of advisers say the lack of integration between their core applications is the biggest pain point with technology.

By Ryan W. Neal
Senate Finance Committee to take up massive retirement savings bill
RETIREMENT PLANNING JUN 21, 2022
Senate Finance Committee to take up massive retirement savings bill

The measure would raise the required minimum distribution age, increase catch-up contributions for people between 60 and 63, and enable workers to withdraw emergency funds from plans, among its many provisions.

By Mark Schoeff Jr.
Supreme Court rejects challenge to SEC 'gag order' Musk opposed
REGULATION AND LEGISLATION JUN 21, 2022
Supreme Court rejects challenge to SEC 'gag order' Musk opposed

The case stems from a challenge by a former Xerox CFO, Barry Romeril, who sued for the ability to deny SEC fraud allegations after he signed a settlement with the agency in 2003.

By Bloomberg