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RIAS NOV 17, 2018
They have little tolerance for sexual harassment, but most advice firms lack formal policies

Industry conferences take lead in adopting formal policies, where harassment has been a problem in the past.

By Jeff Benjamin
For some women, widowhood produces a windfall — and plenty of headaches
RETIREMENT PLANNING NOV 17, 2018
For some women, widowhood produces a windfall — and plenty of headaches

Women who are beneficiaries of their late husbands' estates could be shocked at how much more they owe in taxes.

By Mary Beth Franklin
Advisers draw inspiration from women who ran for Congress
REGULATION AND LEGISLATION NOV 17, 2018
Advisers draw inspiration from women who ran for Congress

Seeing women break through barriers in politics is encouraging to those in other male-dominated fields.

By Mark Schoeff Jr.
Lessons I've learned on how to thrive
OPINION NOV 17, 2018
Lessons I've learned on how to thrive

'There is more work to be done, but no limit to where we can go.'

By Penny Pennington
Adviser suffers the challenge of being a disabled woman on Wall Street
OPINION NOV 17, 2018
Adviser suffers the challenge of being a disabled woman on Wall Street

Adviser survives cancer but loses her job in financial services.

By Cynthia D. DiBartolo
Hester Peirce: All women do not speak with the same voice, and SEC commissioners are no different
OPINION NOV 17, 2018
Hester Peirce: All women do not speak with the same voice, and SEC commissioners are no different

A history of decisions by female members of the Securities and Exchange Commission demonstrates that women bring multiple perspectives to their roles

By Hester Peirce
Kara Stein: Recent gains in female leadership aren't enough
PRACTICE MANAGEMENT NOV 17, 2018
Kara Stein: Recent gains in female leadership aren't enough

SEC commissioner says we've come a long way, but until we fully utilize the potential of half the population, we'll lose out on innovation and growth.

By Kara Stein
Thanksgiving turkeys are shrinking
INDUSTRY NEWS NOV 16, 2018
Thanksgiving turkeys are shrinking

Smaller birds for the holiday feast are another thing being blamed on millennials.

By Bloomberg
Finra bars ex-Wells Fargo Advisors broker who just lost arbitration over loan
REGULATION AND LEGISLATION NOV 16, 2018
Finra bars ex-Wells Fargo Advisors broker who just lost arbitration over loan

Terrence R. Puricelli was fired in 2016 over concerns of the accuracy of notes in the firm's system.

By Bruce Kelly
Investors sour on market strewn with bombs
EQUITIES NOV 16, 2018
Investors sour on market strewn with bombs

Whether it's crude oil, General Electric, bitcoin or bonds, things keep blowing up

By Bloomberg
HUB International in talks to buy Sheridan Road, a $14 billion hybrid retirement plan group
RETIREMENT PLANNING NOV 16, 2018
HUB International in talks to buy Sheridan Road, a $14 billion hybrid retirement plan group

The acquisition would be the biggest yet for Hub, a new aggregator in the retirement-plan advice market.

By Greg Iacurci
Private equity eyes long-term care insurance
RETIREMENT PLANNING NOV 16, 2018
Private equity eyes long-term care insurance

There's a risk advisers could see quality of care suffer for their clients in these sorts of deals.

By Greg Iacurci
Brown Advisory acquires Signature Family Wealth Advisors
RIAS NOV 16, 2018
Brown Advisory acquires Signature Family Wealth Advisors

Signature, a $4.3 billion family office, will keep its name after the merger.

By Jeff Benjamin
Last-Minute Retirement Moves: 2018 Strategies
IRA ALERT NOV 15, 2018
Last-Minute Retirement Moves: 2018 Strategies

Complete rollovers, take care of qualified charitable distributions and be sure all funds related to a lump-sum distribution have been withdrawn.

By Ed Slott
Commonwealth files Finra arbitration, lawsuit against Ohio National for 'unlawful' VA scheme
LIFE INSURANCE AND ANNUITIES NOV 15, 2018
Commonwealth files Finra arbitration, lawsuit against Ohio National for 'unlawful' VA scheme

This is the first known arbitration filed against the insurer for its decision on variable annuity commissions.

By Greg Iacurci
Want to attract millennial investors? Time to rethink AUM pricing
INDUSTRY NEWS NOV 15, 2018
Want to attract millennial investors? Time to rethink AUM pricing

New research argues XY Planning Network pricing options are the future of advice.

By Ryan W. Neal
Morningstar: DOL fiduciary rule reduces inflows to mutual funds with high loads
MUTUAL FUNDS NOV 15, 2018
Morningstar: DOL fiduciary rule reduces inflows to mutual funds with high loads

With the measure's demise, will the SEC's advice reform sustain the momentum?

By Mark Schoeff Jr.
Mercer Advisors bags its third RIA this month
RIAS NOV 15, 2018
Mercer Advisors bags its third RIA this month

Aggressive growth strategy pushes Mercer assets to $14.5 billion.

By Jeff Benjamin
Why seniors need travel insurance
RETIREMENT PLANNING NOV 15, 2018
Why seniors need travel insurance

Medicare doesn't cover medical costs outside the U.S.

By Mary Beth Franklin
Betterment revamping adviser-facing dashboard
FINTECH NOV 15, 2018
Betterment revamping adviser-facing dashboard

Robo adviser update includes more information to help advisers track client behavior.

By Ryan W. Neal