Advisor News

Displaying 28311 results
REGULATION, LEGAL & COMPLIANCE MAY 09, 2018
CFP Board fights restrictive state licensing requirements

Organization succeeds in removing provision from Louisiana legislation.

By Mark Schoeff Jr.
RETIREMENT PLANNING MAY 09, 2018
What are the business priorities of elite 401(k) advisers in 2018?

Managing the firm's operations and employees appears to be the standout.

By Fred Barstein
RETIREMENT PLANNING MAY 09, 2018
Social Security's most confusing rules

Workers' age and marital status determine their claiming options.

By Mary Beth Franklin
REGULATION, LEGAL & COMPLIANCE MAY 08, 2018
Piwowar to resign from SEC

GOP commissioner says he will step down by July 7.

By Rob Kozlowski
RETIREMENT PLANNING MAY 08, 2018
Four challenges in using annuities for retirement planning — and how to overcome them

Annuities are confusing, and retirement savers worry about market volatility and want the freedom to spend their savings as they choose.

By Paula Nelson
REGULATION, LEGAL & COMPLIANCE MAY 08, 2018
Piwowar departure will complicate action on SEC advice rule

Commissioner set to leave agency July 7, about a month before proposal's comment deadline hits.

By Mark Schoeff Jr.
FINTECH MAY 08, 2018
Latest version of Morningstar Direct tailored to wealth management pros

Direct for Wealth Management designed to help home offices develop and refine new investment products.

By Ryan W. Neal
RETIREMENT PLANNING MAY 07, 2018
Auto features boost plan participants' retirement income replacement level

Participants who are auto-enrolled are on track to replace more of their income in retirement, Empower survey shows

By Bloomberg
RETIREMENT PLANNING MAY 07, 2018
Asset managers shift 401(k) distribution toward RIA aggregator firms

That could mean fewer wholesalers calling on individual advisers in the field.

By Greg Iacurci
RETIREMENT PLANNING MAY 07, 2018
Advisers push retired clients to embrace investment risk

Dealing with clients' anxiety explaining that retiring is different from dying.

By Jeff Benjamin
REGULATION, LEGAL & COMPLIANCE MAY 07, 2018
Former broker in Philadelphia sentenced to five years in prison

Former broker in Philadelphia sentenced to prison and to pay $886,214 in restitution to clients.

By InvestmentNews
REGULATION, LEGAL & COMPLIANCE MAY 07, 2018
N.J. homeowners get law to skirt Trump's lowered tax deductions

State will let homeowners declare property taxes as charitable donations.

By Bloomberg
FINTECH MAY 07, 2018
Northwestern Mutual shutting down LearnVest

After paying $250 million for the startup three years ago, the insurance company is shutting it down June 5.

By Ryan W. Neal
REGULATION, LEGAL & COMPLIANCE MAY 07, 2018
Court ruling aside, for now DOL will rely on fiduciary rule to govern investment advice

Agency says advisers must make good-faith compliance efforts to rely on exemptions

By Mark Schoeff Jr.
INDEPENDENT BROKER DEALERS MAY 07, 2018
Utah moves to fine Cetera, LPL and CUSO over credit union violations

Utah moves to charge Cetera, LPL and CUSO over failing to represent credit union relationships correctly.

By Bruce Kelly
REGULATION, LEGAL & COMPLIANCE MAY 07, 2018
State-registered investment advisers, mostly one and two-person offices, total 17,688

State securities regulators release first statistical snapshot of sector.

By Mark Schoeff Jr.
RETIREMENT PLANNING MAY 05, 2018
The worst possible time to retire

Market performance in the first few years of retirement determines financial security throughout one's golden years. Here's why the outlook for people retiring today is concerning.

By Greg Iacurci
RETIREMENT PLANNING MAY 04, 2018
Recent rule changes to boost retiree health costs

New analysis quantifies the effect on Medicare premiums and Social Security benefits.

By Mary Beth Franklin
REGULATION, LEGAL & COMPLIANCE MAY 04, 2018
Fiduciary advocates disagree SEC advice rule harmonizes standards

In recent speech, SEC chairman Jay Clayton touted 'consistent, fiduciary principles.'

By Mark Schoeff Jr.
RETIREMENT PLANNING MAY 04, 2018
Advisers need this new approach to aging clients

Addressing longevity will be key to how financial advisers serve clients in the future.

By Ryan W. Neal