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Gold ETFs post longest run in a decade
ALTERNATIVES OCT 09, 2019
Gold ETFs post longest run in a decade

Bullion has rallied 18% so far this year as the trade war threatens global growth.

By Bloomberg
RETIREMENT PLANNING OCT 09, 2019
Captrust strikes again, buys $1.5 billion RIA

Boston Advisors sells its financial advisory business to the big-time buyer of RIAs.

By Bruce Kelly
REGULATION AND LEGISLATION OCT 09, 2019
SEC bars former Morgan Stanley broker involved in insider trading scheme

Michael Siva pleaded guilty to acting on nonpublic merger information.

By Mark Schoeff Jr.
RIAS OCT 09, 2019
Bad news for advisers offering financial wellness programs

They're at a competitive disadvantage relative to 401(k) vendors, health-plan providers and others, according to a new report

By Greg Iacurci
INDUSTRY NEWS OCT 09, 2019
Gold ETFs post longest run in a decade

Bullion has rallied 18% so far this year as the trade war threatens global growth.

By Bloomberg
Barclays offers first zero-fee ETNs
INDUSTRY NEWS OCT 08, 2019
Barclays offers first zero-fee ETNs

Two exchange-traded notes will track gold and silver futures.

By Bloomberg
Robinhood gives banking another shot
INDUSTRY NEWS OCT 08, 2019
Robinhood gives banking another shot

Its new product will sweep uninvested funds out of customers' accounts into existing banks.

By Bloomberg
Fidelity cuts fees on college savings plans
INDUSTRY NEWS OCT 08, 2019
Fidelity cuts fees on college savings plans

Company also launching new college savings portfolios that combine active, passive investments.

By Bloomberg
Pershing adds analytics tools to adviser platform
INDUSTRY NEWS OCT 08, 2019
Pershing adds analytics tools to adviser platform

Tool aimed at helping advisers measure business growth excluding market performance.

By Ryan W. Neal
Finra issues Regulation Best Interest checklist for brokers
REGULATION AND LEGISLATION OCT 08, 2019
Finra issues Regulation Best Interest checklist for brokers

Broker regulator guidance includes delineating how new standard differs from suitability.

By Mark Schoeff Jr.
Taking a lump-sum pension payment? Watch out for bad boy brokers
INDUSTRY NEWS OCT 08, 2019
Taking a lump-sum pension payment? Watch out for bad boy brokers

A pension buyout comes with risks.

By Bruce Kelly
SEC probing compensation, sales practices in 403(b) plans for school districts
REGULATION AND LEGISLATION OCT 08, 2019
SEC probing compensation, sales practices in 403(b) plans for school districts

The SEC, in an atypical move, appears to be investigating third-party administrators affiliated with entities such as broker-dealers and RIAs

By Greg Iacurci
Why 401(k) advisers should pay attention to Ascensus' TPA buying spree
RETIREMENT PLANNING OCT 08, 2019
Why 401(k) advisers should pay attention to Ascensus' TPA buying spree

Ascensus' FuturePlan has made more than two dozen acquisitions in the last two years.

By Fred Barstein
Working to get Reg BI implemented
OPINION OCT 08, 2019
Working to get Reg BI implemented

Open lines of dialogue will be crucial in identifying the key issues that are most in need of clarification

By Dale Brown
The risks of giving advice to 401(k) participants
OPINION OCT 08, 2019
The risks of giving advice to 401(k) participants

401(k)-plan advisers are well-positioned to provide investment advice to participants, but it could prove legally treacherous.

By Fred Reish
INDUSTRY NEWS OCT 08, 2019
Barclays offers first zero-fee ETNs

Two exchange-traded notes will track gold and silver futures.

By Bloomberg
IRA ALERT OCT 08, 2019
The most misunderstood Roth conversion tax rule

Qualified distributions are the holy grail for Roth IRAs, but there is confusion around the time requirements.

By Ed Slott
INDUSTRY NEWS OCT 08, 2019
Fidelity cuts fees on college savings plans

Company also launching new college savings portfolios that combine active, passive investments.

By Bloomberg
REGULATION AND LEGISLATION OCT 08, 2019
Finra issues Regulation Best Interest checklist for brokers

Broker regulator guidance includes delineating how new standard differs from suitability.

By Mark Schoeff Jr.
INDUSTRY NEWS OCT 08, 2019
Taking a lump-sum pension payment? Watch out for bad boy brokers

A pension buyout comes with risks.

By Bruce Kelly