RIA News

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Active ETFs are ripe for transparent, low-cost strategies
EQUITIES AUG 22, 2017
Active ETFs are ripe for transparent, low-cost strategies

They combine the benefits of active management with liquidity, transparency and cost efficiency.

By Vinay Nadkarni
REGULATION, LEGAL & COMPLIANCE AUG 22, 2017
Big win for LPL in class action over 2016 stock price drop

Judge dismisses lawsuit, citing lack of specific details to support allegations.

By Bruce Kelly
Tibble v. Edison 401(k) fee-case decision offers 3 lessons
RETIREMENT PLANNING AUG 22, 2017
Tibble v. Edison 401(k) fee-case decision offers 3 lessons

The landmark ruling in Tibble v. Edison offers lessons and insights into the duties of 401(k) plan fiduciaries. Read on to find out more

By Ramon Berenguer
RIA NEWS AUG 22, 2017
Investment managers have found a new way to give back

Firms pledge more charitable support as assets increase in their ETFs.

By Liz Skinner
RETIREMENT PLANNING AUG 21, 2017
Social Security underpaid some survivor benefits

New report says staff errors resulted in lower payments to widows and widowers.

By Mary Beth Franklin
RIA NEWS AUG 21, 2017
Awareness of senior financial fraud rises with incidence

Survey of state securities regulators says most cases are undetected until too late.

By InvestmentNews
REGULATION, LEGAL & COMPLIANCE AUG 21, 2017
Fiduciary advocates press CFP Board for specifics on standards changes

Meanwhile, few brokerages and their trade associations, which blasted the DOL's fiduciary rule in comment letters, are responding to the CFP Board's proposal.

By Mark Schoeff Jr.
PRACTICE MANAGEMENT AUG 21, 2017
SunTrust rep managing $260 million goes indie

Andrew Hill in Alpharetta, Ga., affiliates with HighTower.

By InvestmentNews
RETIREMENT PLANNING AUG 21, 2017
401(k) advisers value active management in some categories, despite indexing craze

Fixed income and emerging markets are areas where active funds make sense, some experts say.

By Bruce Shutan
RETIREMENT PLANNING AUG 21, 2017
Being a millionaire in retirement isn't what it used to be

GOBankingRates report measures how long a million dollars would last for retirees, state by state.

By Bloomberg
REGULATION, LEGAL & COMPLIANCE AUG 20, 2017
Making the most of another delay in the DOL's fiduciary rule

The worst outcome would be if the regulation is gutted after the review.

By crain-api
The future looks very different
FINTECH AUG 19, 2017
The future looks very different

By Evan Cooper
RETIREMENT PLANNING AUG 18, 2017
Surprising Social Security rules on divorce

Nuances of the 10-years-of-marriage rule and protections from vengeful spouses.

By Mary Beth Franklin
RETIREMENT PLANNING AUG 18, 2017
The DOL fiduciary rule practically necessitates account aggregation

The more comprehensive the view of client finances, the more prudent the advice.

By Lowell Putnam
FINTECH AUG 18, 2017
Automation: An effective way to enhance marketing success

Five tips on how to successfully deliver content and promote your business.

By Pete Muckley
RETIREMENT PLANNING AUG 17, 2017
Plaintiffs win in Tibble vs. Edison 401(k) fee case

After a decade of activity around the lawsuit, including a hearing before the U.S. Supreme Court, judge rules a prudent fiduciary would have invested in institutional shares.

By Robert Steyer
RIA NEWS AUG 17, 2017
Morgan Stanley broker among five arrested in $5 million insider trading case

Bank of America insider provided tips on major M&A transactions

By InvestmentNews
WIREHOUSES AUG 17, 2017
Plenty of advisers eager to scoop up 'orphaned' accounts

A central argument against the DOL fiduciary rule is that investors with smaller accounts will be abandoned. But many advisers stand ready to serve them.

By Bruce Kelly
REGULATION, LEGAL & COMPLIANCE AUG 17, 2017
Fiduciary double standard gives robos a free ride

What if a human adviser dispensed portfolio recommendations based solely on the answers to 10 or 12 written questions?

By Scott MacKillop
PRACTICE MANAGEMENT AUG 17, 2017
5 non-money-related books to help you (and your children) live a better financial life

There's still time left for end-of-summer reading.

By Joe Duran