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INDUSTRY NEWS SEP 21, 2017
A primer on evaluating how a company uses cash

How a company handles its cash reserves says a lot about the priorities of its executive team

By John Waggoner
RETIREMENT PLANNING SEP 21, 2017
How tax reform could squeeze the middle class

You could end up paying thousands of dollars more after tax reform than you do now.

By Bloomberg
FIXED INCOME SEP 21, 2017
Odd letter highlights fiduciary concerns in Puerto Rico

Oriental Financial Services sold the island commonwealth's triple-tax-free bonds, then dismissed a client when it was sued over the risky securities.

By Bruce Kelly
RIAS SEP 21, 2017
With margins crashing, broker-dealers look to merge: report

Increased regulation is straining profit margins among broker-dealers, sending many of them into the arms of their bigger brethren.

By Bruce Kelly
Demand for Social Security advice growing
RETIREMENT PLANNING SEP 21, 2017
Demand for Social Security advice growing

Majority of future retirees threaten to switch from advisers who don't offer guidance.

By Mary Beth Franklin
INDUSTRY NEWS SEP 20, 2017
Former rep barred after double-dipping on credit card

Marc Ravenscroft kept reimbursement after receiving charge reversal.

By InvestmentNews
INDUSTRY NEWS SEP 20, 2017
Fed's two-day meeting to conclude with decision on interest-rate hike

What to watch for in this afternoon's press conference by Chairwoman Janet Yellen.

By Bloomberg
RIAS SEP 20, 2017
CAPTRUST acquires Davidson & Garrard, a $700 million RIA

Lynchburg, Va.-based advisory firm has 13 employees.

By InvestmentNews
OPINION SEP 20, 2017
How advisers can become small business exit planning specialists

These three steps can help you work with small business owners.

By Rich Whitworth
ALTERNATIVES SEP 20, 2017
Massachusetts blasts SII over non-traded REIT sales

Securities regulator says firm failed to supervise agents over suitability.

By InvestmentNews
RIAS SEP 20, 2017
Ron Carson rebrands his $8.5B firm

Peak Advisor Alliance becomes Carson Group Coaching.

By Jeff Benjamin
INDUSTRY NEWS SEP 20, 2017
Global economy strong, but investment outlook not so much: Vanguard

Mutual fund giant tells investors to brace for decade of 'muted returns.'

By Bloomberg
RIAS SEP 20, 2017
Why operations teams are the unsung heroes behind breakaways

It's operations that ensures the success of an advisory team's transition to the RIA channel.

By Anna Maria Garcia
FIXED INCOME SEP 20, 2017
Fed to start shrinking portfolio in October

Policymakers signal one more rate hike this year, saying storms should have only a temporary impact on the economy.

By Bloomberg
ALTERNATIVES SEP 20, 2017
Massachusetts blasts SII over nontraded REIT sales

Securities regulator says SII Investments failed to supervise agents over suitability.

By Bloomberg
RETIREMENT PLANNING SEP 19, 2017
How plan advisers can ease stress about retirement readiness

Smart plan advisers use an active, personalized approach to engage employees.

By Edward Dressel
INDUSTRY NEWS SEP 19, 2017
Let's get real about dividend stocks

Like many good stories, the narrative is better than the reality.

By Michael Finke
RIAS SEP 19, 2017
Adviser files motion to dismiss claim he was involved in fake news about murdered DNC staffer

Complaint alleges Ed Butowsky and Fox News 'worked in concert under the watchful eye of the White House' to concoct phony story to divert attention from Russian hacking in 2016 presidential campaign.

By Bruce Kelly
INDUSTRY NEWS SEP 19, 2017
SEC bars rep sentenced for securities fraud

Gerald Cocuzzo involved in $131 million market manipulation scheme.

By InvestmentNews
INDUSTRY NEWS SEP 19, 2017
Managed futures funds have fared poorly, but could shine in a market downturn

The funds can bet on rising or falling prices, and have a low correlation with stocks or bonds.

By John Waggoner