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Financial planning programs need champions
Bringing awareness of the financial planning profession to college campuses requires a combination of ingredients
Don’t make us laugh
Finra's latest proposal to bring transparency to broker recruitment bonuses doesn't help the investing public
An ‘adviser’ in name only
Calling a broker an adviser is dangerous, and it's time to embrace the black-and-white distinction.
Nontransparent ETFs a step backward
Less transparency for new products seems in conflict with the SEC's interest in increased disclosure of mutual fund holdings.
3 major changes taking place in wealth management technology
A three-part transition from technology providers to integrated platform providers is occurring.
The case for taking 401(k)s out of employees’ hands
Like in the grocery store aisle, Americans are confronted with a dizzying array of choices when it comes…
Inversions the latest tax-cutting strategy
U.S. corporations have been going through a series of reinventions to minimize bite from the IRS.
Sometimes the IRS loses in court
Engineer's rollover case points out the need for a good lawyer schooled in tax law.
Advisers must move technology training to the front burner
When you put together your 2015 technology budget, be sure there's a line item in there for training.
Advisers need to go back to school
Devoting the time and energy to helping clients with college selection makes advisers more valuable, strengthens client relationships
Advisers should be supporting transparency
The SEC's potential rules to increase disclosure of mutual fund holdings should be applauded.
Foot-dragging on rules harms investors
Regulators are notorious for dragging their feet, and investors suffer when new rules take too long to be finalized.
Be part of the conversation
The Labor Department recently requested in-formation from the 401(k) industry on brokerage windows, signaling that it may be…
How to track your social media
Financial services companies have come to understand that if they want to stay competitive in a digital age,…
An accounting is due on wrap accounts
The SEC is following through on its promise to investigate use of these products, and advisers should take heed.
Fiduciary duty’s impact on succession planning
Does succession planning impose fiduciary obligations for investment advisers? This recently has become a hot topic of conversation,…
Lump sum or monthly pension? How I made my decision
The question is one advisers are likely to hear more often. The answer depends on a person's financial needs, life expectancy and access to other assets.
Proliferation of ETFs both good and bad
A big issue for advisers and investors is the ever-expanding universe of ETFs.
Derivative basket options questioned
The Senate Permanent Subcommittee on Investigations has turned its attention to a derivative strategy that, from a tax…
Is AIG Advisor Group the next big fish Schorsch wants to land?
Larry Roth's old firm might be the next target for Nick Schorsch's hard-charging broker-dealer, says senior columnist Bruce Kelly. Plus: See the biggest recent indie B-D M&A deals
