Advisor News

Displaying 26762 results
Pairing 401(k) and student loan benefits gains more traction
RETIREMENT PLANNING MAR 08, 2019
Pairing 401(k) and student loan benefits gains more traction

Travelers is implementing a program next year, which follows a similar move by Abbott Laboratories.

By Greg Iacurci
Merrill Lynch cross-selling hits the market
WIREHOUSES MAR 07, 2019
Merrill Lynch cross-selling hits the market

The firm is luring clients by reducing interest rates on mortgages by as much as half a percent.

By Bruce Kelly
State securities regulators back Nevada's fiduciary rule proposal
RIA NEWS MAR 07, 2019
State securities regulators back Nevada's fiduciary rule proposal

NASAA President Michael Pieciak: Draft regulations should curb abusive practices.

By Mark Schoeff Jr.
Michael Kitces: The latest in financial adviser fintech — March 2019
FINTECH MAR 07, 2019
Michael Kitces: The latest in financial adviser fintech — March 2019

By Michael Kitces
The 401(k) 'stretch' match may work in reverse
RETIREMENT PLANNING MAR 07, 2019
The 401(k) 'stretch' match may work in reverse

Vanguard found that a strategy used to increase employee retirement savings actually resulted in reduced participation and savings rates.

By Greg Iacurci
GE expects $1.7 billion in rate increases for long-term care policies
RETIREMENT PLANNING MAR 07, 2019
GE expects $1.7 billion in rate increases for long-term care policies

The announcement comes a year after GE said it would need to inject roughly $15 billion to shore up its long-term care reserves.

By Greg Iacurci
UBS escalates its pursuit of rich Americans with staff promotions
PRACTICE MANAGEMENT MAR 06, 2019
UBS escalates its pursuit of rich Americans with staff promotions

Bank names 96 managing directors in Americas, including 60 financial advisers, as it targets more billionaire clients.

By Bloomberg
House Democrats question whether investors are protected under Regulation Best Interest
REGULATION AND LEGISLATION MAR 06, 2019
House Democrats question whether investors are protected under Regulation Best Interest

Lawmakers will seek more information in subcommittee hearing next week.

By Mark Schoeff Jr.
10 things to know about TDFs
RETIREMENT PLANNING MAR 06, 2019
10 things to know about TDFs

Teaser, 120-160 characters: If you're investing in a TDF, remember to choose your target date carefully.

By Jonathan Russell
U.S. agencies revisiting restrictions on bonus payments
REGULATION AND LEGISLATION MAR 06, 2019
U.S. agencies revisiting restrictions on bonus payments

Pay limits were among the most sweeping constraints to come out of Dodd-Frank.

By Bloomberg
Future retirees ponder Social Security strategies
RETIREMENT PLANNING MAR 06, 2019
Future retirees ponder Social Security strategies

Delayed claiming decisions will be based, in part, on interest rates.

By Mary Beth Franklin
Finra extends deadline for brokerages to self-report costly 529 plans
REGULATION AND LEGISLATION MAR 06, 2019
Finra extends deadline for brokerages to self-report costly 529 plans

In FAQs, regulator says firms should review sales supervision procedures, not every transaction.

By Mark Schoeff Jr.
Scrutiny of stock buybacks intensifies as Democrat threatens bill
EQUITIES MAR 06, 2019
Scrutiny of stock buybacks intensifies as Democrat threatens bill

Maryland senator wants the SEC to make it harder for corporate executives to sell shares right after buyback announcements.

By Bloomberg
FINTECH MAR 06, 2019
Your Next-Gen Advisor's Road to Success Starts Long Before Day One

Before you hire an associate advisor, you need a plan that will benefit both of you. Learn the four questions you need to answer before you hire and steps to help get a new advisor started right.

By Gillian Albert
SEC wins churning case against 'cockroaching' broker
REGULATION AND LEGISLATION MAR 05, 2019
SEC wins churning case against 'cockroaching' broker

Barred broker worked at 10 different firms in his 13-year career

By Jeff Benjamin
Wall Street levy gains steam among Democrats
REGULATION AND LEGISLATION MAR 05, 2019
Wall Street levy gains steam among Democrats

While legislation proposing a financial transaction tax has been introduced in the House and Senate, it's not likely to be enacted during the Trump administration.

By Bloomberg
Taxes, investment returns and the new Form 1040
OPINION MAR 05, 2019
Taxes, investment returns and the new Form 1040

Here are changes that advisers should understand so they can spot possible problems and opportunities for clients.

By Frank Pape
BB&T Securities reaches $5.7 million settlement with SEC for deceiving clients
REGULATION AND LEGISLATION MAR 05, 2019
BB&T Securities reaches $5.7 million settlement with SEC for deceiving clients

The SEC claimed BB&T misled clients and caused them to overpay for advisory services.

By Greg Iacurci
NASAA distances itself from state fiduciary efforts, wants Reg BI to succeed
REGULATION AND LEGISLATION MAR 05, 2019
NASAA distances itself from state fiduciary efforts, wants Reg BI to succeed

IRI also pushes for SEC rule, and a bill to promote annuities in retirement plans.

By Mark Schoeff Jr.
Financial advisers take issue with Democratic plans to tax the rich
RIA NEWS MAR 05, 2019
Financial advisers take issue with Democratic plans to tax the rich

As tax proposals become increasingly 'loony tunes,' financial planners grow more nervous about how the plans could affect their clients.

By Jeff Benjamin