Advisor News

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RETIREMENT PLANNING JAN 04, 2016
Aging boomers are ready for financial advice

New book teaches consumers how to select the right adviser.

By Mary Beth Franklin
Errors advisers should steer clear of when updating ADVs
RIA NEWS JAN 03, 2016
Errors advisers should steer clear of when updating ADVs

SEC enforcement targets provide good examples of what to avoid in annual updates.

By Liz Skinner
INDEPENDENT BROKER DEALERS DEC 30, 2015
How brokers can navigate consolidation in the B-D industry

Advisers should take a deliberate approach to charting their future. Here's what to look for.

By Bill Morrissey
FINTECH DEC 30, 2015
Robos will fare well in market volatility with nerves of steel

Online investment platforms, which for the most part offer passive investment portfolios, say their clients can handle market volatility in 2016.

By Alessandra Malito
What we'll remember about the markets in 2015
RIA NEWS DEC 30, 2015
What we'll remember about the markets in 2015

Some highs and lows, swings and misses

By Jeff Benjamin
4 ways to successfully prepare your firm for big tech changes
OPINION DEC 30, 2015
4 ways to successfully prepare your firm for big tech changes

Understanding how you work with your technology today will ensure you understand the impact of the changes you are planning.

By Neal Quon
INDEPENDENT BROKER DEALERS DEC 30, 2015
DOL fiduciary rule could decimate number of IBDs

Commonwealth Financial Network managing principal John Rooney says a combination of higher costs and less revenue, thanks to the DOL fiduciary rule, will cause widespread consolidation of independent broker-dealers.

By Bruce Kelly
EQUITIES DEC 29, 2015
Passive strategies put another mark in the win column in 2015

Plus: You ain't seen lame until you've seen Congress next year, money manager M&A peaks, avoiding financial fraud, and how the rich get and stay rich

By Jeff Benjamin
Finra to seek a 'significant fine' from MetLife over variable annuity sales
INDEPENDENT BROKER DEALERS DEC 29, 2015
Finra to seek a 'significant fine' from MetLife over variable annuity sales

Regulator focuses on potential violations regarding misrepresentations, suitability, and supervision

By Bloomberg
LPL to pay $1.4 million fine and return investor money for certain nontraded REIT sales
ALTERNATIVES DEC 29, 2015
LPL to pay $1.4 million fine and return investor money for certain nontraded REIT sales

Broker-dealer agrees to a $1.4 million fine and will return investor money on approximately 2,000 sales of nontraded REITs. Firm also settles with states regarding leveraged ETFs.

By Mark Schoeff Jr.
Clients need prep for long-term care
RETIREMENT PLANNING DEC 28, 2015
Clients need prep for long-term care

Few have planned for such care, but 70% of 65-year-olds will require it in their future.

By Jamie Hopkins
RETIREMENT PLANNING DEC 28, 2015
2016 could be a good year for women looking to buy real estate

Single female homebuyers are poised to make a comeback, particularly in cities where their salaries are rising faster than those of single men.

By Bloomberg
Congress set to make popular tax breaks permanent
REGULATION AND LEGISLATION DEC 28, 2015
Congress set to make popular tax breaks permanent

Advisers were pleasantly surprised by the tax package that will provide them more certainty when planing long-term for clients.

By Mark Schoeff Jr.
Will mutual funds' pay-to-play at brokerages go away?
PRACTICE MANAGEMENT DEC 28, 2015
Will mutual funds' pay-to-play at brokerages go away?

Fund industry worries about fallout from results of SEC exam sweep on distribution fees.

By Mark Schoeff Jr.
INDEPENDENT BROKER DEALERS DEC 23, 2015
Finra names new CEO to replace Ketchum

Robert W. Cook, the former director of the division of trading and markets for the SEC from 2010 to 2013, will take over the reins of the brokerage industry regulator.

By Bruce Kelly
RETIREMENT PLANNING DEC 23, 2015
Retirement readiness improves, but most Americans' savings still fall short

More than half of Americans are still at risk of being unprepared to completely cover essential living expenses in retirement.

By Mary Beth Franklin
FINTECH DEC 23, 2015
RCAP evaluating Docupace's role amid bankruptcy filing

RCS Capital Corp. is still evaluating Docupace, the SEC- and Finra- compliant paperless processing system used by its retail broker-dealer network, as RCAP prepares to file for bankruptcy.

By Alessandra Malito
Former Morgan Stanley adviser sentenced to three years' probation for data theft
WIREHOUSES DEC 23, 2015
Former Morgan Stanley adviser sentenced to three years' probation for data theft

Galen Marsh, who allegedly called the stolen data “the world's best cold-calling list,” had some of the data stolen from him and posted on the Internet.

By Bloomberg
New bills aim to stop DOL fiduciary rule
RETIREMENT PLANNING DEC 23, 2015
New bills aim to stop DOL fiduciary rule

New bipartisan legislation would quash a Labor Department proposal to strengthen investment advice standards for retirement accounts.

By Mark Schoeff Jr.
Glut of IBDs for sale creating a buyer's market, putting pressure on prices
INDEPENDENT BROKER DEALERS DEC 23, 2015
Glut of IBDs for sale creating a buyer's market, putting pressure on prices

Black Friday sales come early for buyers of independent broker-dealers as a slew of available firms puts pressure on prices.

By Bruce Kelly