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RIAS MAY 23, 2017
RIAs and broker-dealers charge ahead in prep for DOL fiduciary rule

Many advisory firms have been progressing in changes required to meet the new regulation, despite the first delay and a broader review that continues.

By Liz Skinner
REGULATION AND LEGISLATION MAY 23, 2017
Labor secretary Alexander Acosta gives DOL fiduciary rule supporters something to cheer about — at least for now

It won't be delayed beyond June 9, but there could still be wholesale changes to the rule in the future. (<b>More:</b>&#8203;&#32;<a href=&quot;http://www.investmentnews.com/gallery/20170523/FREE/523009998/PH&quot; style=&quot;color:#b10816&quot; target=&quot;_blank&quot;>DOL Fiduciary Rule: What you need to know about Acosta's decision) </a>

By Mark Schoeff Jr.
INDUSTRY NEWS MAY 23, 2017
Rep barred for paying credit card bills with client money

Former Wells Fargo broker consents to Finra ban for improper transfers from customer accounts.

By InvestmentNews
REGULATION AND LEGISLATION MAY 23, 2017
DOL fiduciary rule reaction on Twitter

Big DOL fiduciary rule news requires a big reaction &amp;mdash; at least on Twitter. Here's what people were saying about the news that the rule will become applicable beginning June 9

By Scott Kleinberg
INDUSTRY NEWS MAY 22, 2017
Wirehouses use predictive analytics to shore up goals-based planning

Large brokerage firms are updating technology to get a better understanding of clients in real time, to augment advisers' service and improve client experience.

By Greg Iacurci
BROKER DEALERS MAY 22, 2017
Cambridge loses $120 million team to LPL

Five-person group based in Reading, Pa., affiliates with hybrid arm.

By InvestmentNews
RIAS MAY 22, 2017
$160 million Merrill Lynch team exits for HighTower

Advisers forming RIA in West Palm Beach, Fla.

By InvestmentNews
REGULATION AND LEGISLATION MAY 22, 2017
Regulation, politics dominate adviser concerns, survey finds

Inflation worries grow, but still rank at bottom, Fidelity says.

By InvestmentNews
RETIREMENT PLANNING MAY 22, 2017
Advisers want Congress to increase HSA contribution limits

Congress might double contribution limits separately if health care bill falls apart in Senate, consultant says.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION MAY 22, 2017
Critics say Finra proposal on unpaid arbitration awards doesn't go far enough

Finra president and chief executive Robert Cook promises organization will revisit issue.

By Mark Schoeff Jr.
RETIREMENT PLANNING MAY 22, 2017
Vermont poised to become latest state to set up retirement plan for small businesses

It would be the ninth state to pass legislation creating a plan, and differs from other states' auto-IRA and marketplace approaches.

By Greg Iacurci
REGULATION AND LEGISLATION MAY 22, 2017
Phyllis Borzi says opponents of DOL fiduciary rule face uphill climb to further delay or dilute it

Former assistant Labor secretary who crafted the rule says President Trump won't be able to get rid of it simply because he doesn't like it.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION MAY 22, 2017
Acosta declines to extend delay of DOL fiduciary rule

Labor Secretary finds no legal basis to delay implementation; rule to become applicable June 9

By Mark Schoeff Jr.
RIAS MAY 21, 2017
Retirement plan advisers turning to RIA aggregators to build practices

Interest in aggregator firms focused on 401(k) plans has grown, but advisers must weigh what they'd be sacrificing and gaining through such arrangements.

By Greg Iacurci
RETIREMENT PLANNING MAY 21, 2017
What plan sponsors look for in a 401(k) adviser

Clients are looking for more when it comes to participant education, communication, investment reporting and investment results.

By ecooper
RETIREMENT PLANNING MAY 21, 2017
Advisers struggle to get 401(k) plan, participant data from record keepers

Advisers argue they need to see participant information to do holistic planning and be fiduciaries.

By Fred Barstein
RETIREMENT PLANNING MAY 21, 2017
How 401(k) advisers can create effective financial wellness programs

The central goal shouldn't be education, but rather lasting ways to change unhealthy behaviors

By Kristen Berman
RETIREMENT PLANNING MAY 20, 2017
How 401(k) advisers can bullet-proof themselves against litigation risk under DOL fiduciary rule

Tons of 401(k) advisers will be prone to litigation come June, and advisers need to know where the pitfalls lie and how best to protect themselves.

By Greg Iacurci
RETIREMENT PLANNING MAY 20, 2017
Plan advisers give stable value another look

By mandating that nongovernment money funds add special fees, redemption restrictions and floating net-asset values, the SEC has given plan advisers a reason to reassess the cash management options in company-sponsored plans.

By Jeff Benjamin
RETIREMENT PLANNING MAY 19, 2017
Guess who's saving the most: Millennials

Houses and retirement? Not so much &#8211; personal freedom tops concerns.

By Bloomberg