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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
Alpha predator in the B-D space
This editor’s note originally appeared in the August 11th print issue of InvestmentNews. Somehow it seems appropriate that…
Heed custodian’s asset allowances
The Tax Court has ruled that an individual had a taxable IRA distribution when he tried to get…
Dodd-Frank strikes again
Just when more sophisticated individual investors have become more comfortable with the idea of investing in hedge funds,…
CFP Board: Talking tough but acting soft
It's time for the CFP Board to be more transparent in its dealings over adviser pay descriptions.
A warning on multiple IRA rollovers
Tax Court: "Once a year" rollover rule applies to all of a taxpayer's individual retirement accounts.
How savvy financial advisers work with successful women
Advisers who have the patience, empathy and courage to sift through what matters most to powerful female clients can help them create a plan for success that's likely to make them clients for life.
Inherited IRAs in bankruptcy cases
The Supreme Court ruled unanimously last month that inherited individual retirement accounts are not protected under federal bankruptcy…
Smart money eschews big brands
Huge study shows that the most knowledgeable consumers buy the less expensive, store labels.
Getting the most out of social media
Social media has become an integral part of our lives, helping us connect with friends and colleagues as…
Who’s Finra protecting, anyway?
Once again, the Financial Industry Regulatory Authority Inc. has shown that it is more beholden to the industry…
How to get Millennials on track for retirement
Crushing debts could make long-term savings goals a hard sell.
