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Recession could hit Social Security financial outlook
OPINION MAR 25, 2020
Recession could hit Social Security financial outlook

The likelihood that people will file for benefits sooner amid a downturn and the possible decline in payroll tax revenue could put pressure on the Social Security trust fund

By Mary Beth Franklin
COVID-19 could prompt more 401(k) cash-outs
RETIREMENT PLANNING MAR 25, 2020
COVID-19 could prompt more 401(k) cash-outs

The market dive is likely to result in more early withdrawals and borrowing from retirement plans, particularly by people who don't have access to financial advice

By Emile Hallez
White House, senators strike deal on $2 trillion stimulus package
REGULATION AND LEGISLATION MAR 25, 2020
White House, senators strike deal on $2 trillion stimulus package

The measure includes $500 billion to back loans and assistance to companies and more than $360 billion to aid small businesses

By Bloomberg
Wells Fargo to give extra pay to most U.S. workers amid crisis
PRACTICE MANAGEMENT MAR 24, 2020
Wells Fargo to give extra pay to most U.S. workers amid crisis

The bank will make payments to workers who earn less than $100,000 and were employed by Wells for all of 2019

By Bloomberg
Remote regulation to add new hurdles
PRACTICE MANAGEMENT MAR 24, 2020
Remote regulation to add new hurdles

Working from home would mean depending on telephone, video or online outreach

By Mark Schoeff Jr.
Vanguard moving forward with new robo-adviser
FINTECH MAR 24, 2020
Vanguard moving forward with new robo-adviser

In addition to retirement accounts, Vanguard plans to give advice on emergency funds, debt and managing extra cash

By Ryan W. Neal
How COVID-19 is driving new financial planning business
RETIREMENT PLANNING MAR 24, 2020
How COVID-19 is driving new financial planning business

Many investors who have lost money during the pandemic are seeking out financial advice for the first time

By Emile Hallez
10 fastest-growing IBDs
OPINION MAR 24, 2020
10 fastest-growing IBDs

The independent broker-dealers that posted the biggest growth in 2019

By InvestmentNews
Senators can’t rely on 'my adviser did it' excuse to dodge insider-trading questions
REGULATION AND LEGISLATION MAR 24, 2020
Senators can’t rely on 'my adviser did it' excuse to dodge insider-trading questions

Former SEC enforcement official says lawmakers should have set up blind trusts or automated trading

By Mark Schoeff Jr.
Three advisers managing $100 million affiliate with LPL
INDEPENDENT BROKER DEALERS MAR 24, 2020
Three advisers managing $100 million affiliate with LPL

Shawn Walton, Debbie Hawksworth and Richard Coloni are joining OSJ Synergy Wealth in Central Florida

By InvestmentNews
What RIAs need to do when coronavirus keeps changing the rules
OPINION MAR 24, 2020
What RIAs need to do when coronavirus keeps changing the rules

A step-by-step account of how Allworth outfitted itself against a novel virus

By Scott T. Hanson
Scams targeting seniors are incorporating COVID-19 concerns
OPINION MAR 24, 2020
Scams targeting seniors are incorporating COVID-19 concerns

The SEC and Finra have posted warnings about frauds that play off the pandemic

By Josh Jones and Taylor Anderson
SEC goes after barred Ohio adviser for violating order
RIA NEWS MAR 24, 2020
SEC goes after barred Ohio adviser for violating order

Brandon Copeland created a new firm and failed to pay penalty

By InvestmentNews
10 IBDs with the highest average payouts
INDEPENDENT BROKER DEALERS MAR 24, 2020
10 IBDs with the highest average payouts

The independent broker-dealers that paid the most in 2019

By InvestmentNews
Dispatch from my bunker
RETIREMENT PLANNING MAR 23, 2020
Dispatch from my bunker

Here's how I'm coping during the pandemic. I'm asking InvestmentNews readers to share their stories of how they're coping

By Mary Beth Franklin
Recession would slow state auto-IRAs, MEPs
RETIREMENT PLANNING MAR 23, 2020
Recession would slow state auto-IRAs, MEPs

Programs will remain viable but will take longer to build assets as gig workers and small businesses struggle to stay afloat, leaders said

By Emile Hallez
Triple Play: Investing in technologies that spark adviser success
FINTECH MAR 23, 2020
Triple Play: Investing in technologies that spark adviser success

Shirl Penney of Dynasty recommends advice firms develop a technology investment road map that matches up to their specific goals

By InvestmentNews
Moody's cites revenue concerns on three large IBDs
INDEPENDENT BROKER DEALERS MAR 23, 2020
Moody's cites revenue concerns on three large IBDs

LPL, Cetera and Advisor Group are bellwethers for the independent broker-dealer industry

By Bruce Kelly
Lessons from Black Monday — and crises since
OPINION MAR 23, 2020
Lessons from Black Monday — and crises since

Once things settled down after the 1987 crash, there was a lot of money set in motion

By Jack Sharry
ICapital Network alts platform raises $146 million
ALTERNATIVES MAR 23, 2020
ICapital Network alts platform raises $146 million

Funds for expansion come from new, existing investors

By InvestmentNews