Advisor News

Displaying 26748 results
RETIREMENT PLANNING DEC 22, 2017
New Social Security rules trip up widow's adviser

If she suspends her retirement benefits, she can't collect survivor benefits.

By Mary Beth Franklin
FINTECH DEC 22, 2017
Avoid these bond-buying pitfalls

Consider all attributes of a bond and choose a trading platform that is aligned with your clients' best interests.

By Jason T. Ware
RETIREMENT PLANNING DEC 22, 2017
4 questions to ask before doing a 401(k) plan re-enrollment

A re-enrollment is a large undertaking, but advisers can easily determine if one is warranted.

By Aaron Pottichen
REGULATION AND LEGISLATION DEC 22, 2017
New DOL, SEC officials help advance fiduciary rule work

Senate confirms Preston Rutledge to key Labor Department role, while Hester Peirce and Robert Jackson Jr. join SEC as commissioners.

By Mark Schoeff Jr.
RETIREMENT PLANNING DEC 21, 2017
Interest in donor-advised funds surges in response to tax changes

You still have time to set up accounts before year-end, but some contribution deadlines have passed.

By Mary Beth Franklin
ALTERNATIVES DEC 21, 2017
Silver lining in BDC fundraising figures

The current environment is one step along the continuum toward transparent pricing in alternative assets.

By Robert Grunewald
RETIREMENT PLANNING DEC 21, 2017
Longevity is the best reason to invest in LTC

Clients who buy long-term-care insurance in their mid-40s to mid-60s can get favorable rates.

By Olin Wage
REGULATION AND LEGISLATION DEC 21, 2017
Finra fines Raymond James $2 million over emails

Regulator said firm's review system was 'flawed in significant respects.'

By InvestmentNews
REGULATION AND LEGISLATION DEC 21, 2017
Finra advances proposals to clarify outside business activities, churning rules

Compliance experts say the changes would focus enforcement on investor harm.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION DEC 20, 2017
LPL loses $462,000 arbitration claim stemming from broker who ran Ponzi scheme

LPL was deemed liable for not supervising the broker, Charles Fackrell, who has been sentenced to five years in prison for defrauding clients.

By Bruce Kelly
REGULATION AND LEGISLATION DEC 20, 2017
Finra will publish budget for first time in 2018

Broker-dealer regulator's effort to be more transparent about finances stems from ongoing self-evaluation.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION DEC 20, 2017
Former State Farm rep barred by Finra

Kim Le's outside business activities were subject of investigation

By Bloomberg
MUTUAL FUNDS DEC 20, 2017
Political ETFs have fair share of haters

Getting even a rough sense of how governments influence share prices is a task fraught with peril.

By Bloomberg
FINTECH DEC 20, 2017
Two more bitcoin ETFs test luck with SEC

The GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF would trade on the Cboe BZX exchange.

By Bloomberg
REGULATION AND LEGISLATION DEC 20, 2017
CFP Board modifies details of revised standards but maintains strengthened fiduciary duty

Under second proposal, CFP Board tweaks pre-engagement client disclosure, clarifies rules for non-financial-planning advice.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION DEC 20, 2017
Congress sends Trump tax-cut bill

House Republicans passed the most extensive rewrite of the U.S. tax code in more than 30 years.

By Bloomberg
FINTECH DEC 20, 2017
Krawcheck expands Ellevest robo to three service levels with more human advice

Firm adds premium and private wealth management tiers with elements of goals-based planning and career advice.

By Ryan W. Neal
FINTECH DEC 20, 2017
Morningstar sells Broadridge its board consulting services business

By Jeff Benjamin
RIA NEWS DEC 20, 2017
RIA sellers need their own Zillow

By Jeff Benjamin
OPINION DEC 20, 2017
Ten years after the crisis, investors need advisers more than ever

Emphasize the importance of maintaining a fundamentally diversified portfolio.

By John Diehl