News

Displaying 42983 results
Gold market focuses on yield curve control
FIXED INCOME JUL 01, 2020
Gold market focuses on yield curve control

With futures topping $1,800, a Fed move to pin down U.S. yields could add to gold's allure

By Bloomberg
Stifel snags $935 million adviser team from Merrill Lynch
BROKER DEALERS JUN 30, 2020
Stifel snags $935 million adviser team from Merrill Lynch

The four-person adviser team marks the third to transition away from the wirehouse in favor of the independent platform this year

By Nicole Casperson
Firms, regulators, plaintiffs' bar set to determine whether Reg BI protects investors
REGULATION AND LEGISLATION JUN 30, 2020
Firms, regulators, plaintiffs' bar set to determine whether Reg BI protects investors

The SEC's new broker advice standard must be implemented Tuesday

By Mark Schoeff Jr.
401(k) trading didn't hurt returns for participants in Q1: Report
RETIREMENT PLANNING JUN 30, 2020
401(k) trading didn't hurt returns for participants in Q1: Report

Most people who shifted allocations in their retirement plans were more sophisticated investors, according to research published by NBER

By Emile Hallez
More 'doubt' about this broker-dealer's future
BROKER DEALERS JUN 30, 2020
More 'doubt' about this broker-dealer's future

Newbridge Securities reported large deficits for 2019, according to its auditor

By Bruce Kelly
Timing a Social Security claim when you have children
RETIREMENT PLANNING JUN 30, 2020
Timing a Social Security claim when you have children

The Viagra college fund is alive and well, but the earnings test could reduce benefits

By Mary Beth Franklin
Morningstar, Morgan Stanley adopt new content management tool
FINTECH JUN 30, 2020
Morningstar, Morgan Stanley adopt new content management tool

The 4U Connect platform stores content to be submitted, reviewed and approved all via a common app

By Nicole Casperson
Creative Planning acquires $530 million RIA
RIAS JUN 30, 2020
Creative Planning acquires $530 million RIA

Starfire Investment Advisers is based outside Detroit

By InvestmentNews
Mercer acquires $330 million RIA
RIAS JUN 30, 2020
Mercer acquires $330 million RIA

Founders sell Los Angeles-based Argosy Wealth Management

By InvestmentNews
Wells Fargo to cut its dividend
WIREHOUSES JUN 30, 2020
Wells Fargo to cut its dividend

Other big banks are maintaining their dividend payments in the wake of new Fed restrictions

By Bloomberg
How Reg BI is changing the technology landscape
FINTECH JUN 30, 2020
How Reg BI is changing the technology landscape

From multifunctional dashboards to an increase in demand for robo-advisers, the industry’s appetite for innovation has only increased with new regulation

By Nicole Casperson
DOL proposes new standard to replace vacated fiduciary rule
RETIREMENT PLANNING JUN 29, 2020
DOL proposes new standard to replace vacated fiduciary rule

The agency says the measure will ensure financial advisers act in retirement savers’ best interests

By Mark Schoeff Jr.
Schwab ETFs see billions flowing in and out
MUTUAL FUNDS JUN 29, 2020
Schwab ETFs see billions flowing in and out

Big moves stir speculation the company may be revising the allocations of its model portfolios

By InvestmentNews
XY Planning focuses on state fiduciary rules after losing Reg BI suit
RIAS JUN 29, 2020
XY Planning focuses on state fiduciary rules after losing Reg BI suit

XYPN co-founder Michael Kitces says the federal appeals court’s decision to uphold the measure could ‘embolden’ states

By Mark Schoeff Jr.
Empower's $1 billion deal for Personal Capital could boost rollover business
RETIREMENT PLANNING JUN 29, 2020
Empower's $1 billion deal for Personal Capital could boost rollover business

The combined companies will give retirement savers the ability to view all of their financial accounts in one place

By Emile Hallez
Increase client satisfaction through planning
OPINION JUN 29, 2020
Increase client satisfaction through planning

New research shows a divide between the services financial advisers are providing and what clients value

By Jamie Hopkins
INmail: Spousal benefit math when claiming before full retirement age
RETIREMENT PLANNING JUN 29, 2020
INmail: Spousal benefit math when claiming before full retirement age

By claiming her Social Security early, will my client's benefits be permanently reduced?

By Mary Beth Franklin
Hybrid managing $530 million moves to LPL
BROKER DEALERS JUN 29, 2020
Hybrid managing $530 million moves to LPL

Bernicke Wealth Management is leaving Triad and TD Ameritrade

By InvestmentNews
Fed discloses bond purchases
FIXED INCOME JUN 29, 2020
Fed discloses bond purchases

The central bank bought bonds issued by AT&T, UnitedHealth and Walmart

By Bloomberg
Empower Retirement to buy Personal Capital in $1 billion deal
RETIREMENT PLANNING JUN 29, 2020
Empower Retirement to buy Personal Capital in $1 billion deal

The deal would bring Personal Capital's online and human adviser services to Empower's retirement plan business

By Emile Hallez