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Displaying 42950 results
Trump to outline new vision for Medicare
INDUSTRY NEWS OCT 03, 2019
Trump to outline new vision for Medicare

An executive order regarding the Medicare system is titled "Protecting Medicare from Socialist Destruction."

By InvestmentNews
Nashville hybrid managing $150 million switches to SA Stone
INDUSTRY NEWS OCT 03, 2019
Nashville hybrid managing $150 million switches to SA Stone

The company and an RIA affiliate are units of the former Sterne Agee

By InvestmentNews
LPL reels in three teams from Advisor Group broker-dealers
INDUSTRY NEWS OCT 03, 2019
LPL reels in three teams from Advisor Group broker-dealers

LPL's haul includes two groups from FSC Securities and almost $1.5 billion in client assets.

By Bruce Kelly
Riskalyze launches multi-custodial trading tool
INDUSTRY NEWS OCT 03, 2019
Riskalyze launches multi-custodial trading tool

Company said software will reduce time advisers spend trading by 80%.

By Ryan W. Neal
Commonwealth Financial fires back at SEC charges of conflicts of interest
REGULATION AND LEGISLATION OCT 03, 2019
Commonwealth Financial fires back at SEC charges of conflicts of interest

Firm says clients were not deceived by alleged conflicts over revenue-sharing

By Bruce Kelly
Navigating the world of probability and certainty in your practice
INDUSTRY NEWS OCT 03, 2019
Navigating the world of probability and certainty in your practice

Advisers should be cognizant of the rules that govern clients' retirement assets.

By Corey Keltner
We'll just keep the wolf; hold the sheep's clothing
OPINION OCT 03, 2019
We'll just keep the wolf; hold the sheep's clothing

The SEC offers no evidence investors will benefit from Reg BI beyond vague, unsupported assertions

By Brian Hamburger
Refined Metrics for RIAs: Improving Performance Measurement
INDUSTRY NEWS OCT 03, 2019
Refined Metrics for RIAs: Improving Performance Measurement

Hindsight is 20/20, but it doesn't tell you much about the future.

By Anand Sekhar
Mixing fiduciary and nonfiduciary standards can be counterproductive
OPINION OCT 03, 2019
Mixing fiduciary and nonfiduciary standards can be counterproductive

Studies say Reg BI exacerbates the blurred lines between sales and professional advice.

By Blaine F. Aikin
Don't dismiss clients' woes just because they're rich
OPINION OCT 03, 2019
Don't dismiss clients' woes just because they're rich

Public hatred of the wealthy is one of the last bastions of acceptable prejudice

By Sarah Newcomb
Investigation into 403(b) costs, sales could be an A+ for teachers
OPINION OCT 03, 2019
Investigation into 403(b) costs, sales could be an A+ for teachers

The Wild, Wild West of retirement savings desperately needs reform.

By Greg Iacurci
Schwab's next target? Financial advisers
INDUSTRY NEWS OCT 03, 2019
Schwab's next target? Financial advisers

Custodians are increasingly under pressure, and some are responding by making a push into the advisory business.

By Nir Kaissar
LPL reels in three teams from Advisor Group broker-dealers
INDUSTRY NEWS OCT 03, 2019
LPL reels in three teams from Advisor Group broker-dealers

LPL's haul includes two groups from FSC Securities and almost $1.5 billion in client assets.

By Bruce Kelly
INDUSTRY NEWS OCT 03, 2019
Riskalyze launches multi-custodial trading tool

Company said software will reduce time advisers spend trading by 80%.

By Ryan W. Neal
REGULATION AND LEGISLATION OCT 03, 2019
Commonwealth Financial fires back at SEC charges of conflicts of interest

Firm says clients were not deceived by alleged conflicts over revenue-sharing

By Bruce Kelly
Finra approves plan for specialized arbitrators to decide broker expungements
REGULATION AND LEGISLATION OCT 03, 2019
Finra approves plan for specialized arbitrators to decide broker expungements

Board also votes for proposal about brokers acting as client beneficiaries.

By Mark Schoeff Jr.
OPINION OCT 03, 2019
We'll just keep the wolf; hold the sheep's clothing

The SEC offers no evidence investors will benefit from Reg BI beyond vague, unsupported assertions

By Brian Hamburger
OPINION OCT 03, 2019
Enhanced Performance Metrics for RIAs: A Comprehensive Guide

Hindsight is 20/20, but it doesn't tell you much about the future

By Anand Sekhar
INDUSTRY NEWS OCT 03, 2019
Don't dismiss clients' woes just because they're rich

Public hatred of the wealthy is one of the last bastions of acceptable prejudice

By Sarah Newcomb
RETIREMENT PLANNING OCT 03, 2019
Investigation into 403(b) costs, sales could be an A+ for teachers

Wild, Wild West of retirement savings desperately needs a reform.

By Greg Iacurci