Advisor News

Displaying 26699 results
PRACTICE MANAGEMENT SEP 30, 2014
Finra assessing costs for second phase of CARDS affecting broker-dealers

Jonathan Sokobin, the regulator's chief economist, will bring together a group of small firms to better understand costs and benefits of the proposal.

By Mark Schoeff Jr.
FINTECH SEP 30, 2014
FSI sets up task force to influence CARDS development

Group will advance recommendations, with a key focus on cost versus benefit.

By Mark Schoeff Jr.
EQUITIES SEP 30, 2014
The dangerous downside of the stronger dollar

Today's <i>Breakfast with Benjamin</i> menu covers the U.S. dollar threatening to knock markets off balance, riding an ETF back into commodities, retirement plans turning on the Pimco Total Return Fund, and more.

By Jeff Benjamin
PRACTICE MANAGEMENT SEP 30, 2014
Investors may resist quizzing brokers about compensation

Finra proposal bashed as an 'envelope-stuffer'

By Mark Schoeff Jr.
PRACTICE MANAGEMENT SEP 30, 2014
Rule proposal for new hire background checks moving to SEC

The role moving to the SEC would require brokers to put written procedures in place to verify the accuracy of applicants' U4 forms.

By Mark Schoeff Jr.
RIA NEWS SEP 30, 2014
Chairman White's political will may determine fiduciary-duty outcome

Advocate urges SEC leader to move ahead with split commission.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION SEP 30, 2014
Lines are drawn within the SEC, slowing potential fiduciary duty rule

Consensus may never be reached, with Gallagher and Piwowar already against it.

By Mark Schoeff Jr.
RETIREMENT PLANNING SEP 29, 2014
Housing recovery on horizon, but is it too little, too late for retiring boomers?

Median sale price of existing homes rose more than 5% in September

By Liz Skinner
RETIREMENT PLANNING SEP 29, 2014
Firms challenged to create innovative retirement income products

Successfully addressing the post-accumulation phase and providing simplicity still difficult for the industry.

By Darla Mercado
LIFE INSURANCE AND ANNUITIES SEP 29, 2014
Finra charges SWS with improper supervision of VA transactions

SWS Financial Services charged with green-lighting variable annuity applications without proper review for suitability.

By Darla Mercado
PRACTICE MANAGEMENT SEP 29, 2014
Putting an end to elder financial abuse

As a first step, communication and coordination between advisers, regulators needs to be improved.

By Dale Brown
RETIREMENT PLANNING SEP 29, 2014
Do you speak Social Security?

Many advisers are conversant, but not fluent, in claiming strategies and rules.

By Mary Beth Franklin
PRACTICE MANAGEMENT SEP 29, 2014
Beatty takes reins of NASAA, focuses on protecting senior investors

Other issues state regulators are tackling include expungement, broker fee disclosures and REIT concentration in portfolios.

By Mark Schoeff Jr.
RETIREMENT PLANNING SEP 29, 2014
Jay Wintrob resigns as CEO of AIG Life and Retirement

He had been in contention to succeed Benmosche as head of AIG.

By Bruce Kelly
RETIREMENT PLANNING SEP 29, 2014
Advice industry adapts to changing concept of retirement

As people live longer, the distribution phase becomes more critical

By Mary Beth Franklin
FINTECH SEP 29, 2014
What to do when your cloud crashes

Outages are a fact of life, but most are short-lived.

By Liz Skinner
Financial planning programs need champions
OPINION SEP 28, 2014
Financial planning programs need champions

Bringing awareness of the financial planning profession to college campuses requires a combination of ingredients

By Luke Dean
OPINION SEP 28, 2014
Fiduciary: Contentious, unsettled

But consensus for one standard building among thought leaders and decision makers

By Blaine F. Aikin
OPINION SEP 28, 2014
Don't make us laugh

Finra's latest proposal to bring transparency to broker recruitment bonuses doesn't help the investing public

By MFXFeeder
INDEPENDENT BROKER DEALERS SEP 28, 2014
An 'adviser' in name only

Calling a broker an adviser is dangerous, and it's time to embrace the black-and-white distinction.

By MFXFeeder