RIA News

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REGULATION AND LEGISLATION FEB 13, 2017
Sen. Elizabeth Warren presses Andrew Puzder on DOL fiduciary rule

Asks Trump's nominee for secretary of Labor how he'll evaluate the retirement advice regulation.

By Mark Schoeff Jr.
MUTUAL FUNDS FEB 13, 2017
Lower taxes could hit municipal bond yields

Individual and corporate tax reform add uncertainty to staid market.

By John Waggoner
Social Security Administration continues to give bad advice on claiming rules
RETIREMENT PLANNING FEB 13, 2017
Social Security Administration continues to give bad advice on claiming rules

Staff denies some eligible applications for spousal benefits.

By Mary Beth Franklin
REGULATION AND LEGISLATION FEB 12, 2017
President Trump's order on DOL fiduciary rule creates quandary for firms

By Ellie Zhu
RETIREMENT PLANNING FEB 12, 2017
Trump's DOL fiduciary directive triggers chaos

The mandate to review the rule and the accompanying delay leave the industry scrambling to adjust.

By Mark Schoeff Jr.
MUTUAL FUNDS FEB 10, 2017
European stocks far cheaper than US stocks

Political worries, debt woes weighs heavy.

By John Waggoner
REGULATION AND LEGISLATION FEB 10, 2017
Labor Department seeks 180-day delay of fiduciary rule: Reports

Agency also wants to open another round of public comment on the regulation, according to published reports.

By InvestmentNews
Is your 401(k) balance above or below average?
RETIREMENT PLANNING FEB 10, 2017
Is your 401(k) balance above or below average?

As life expectancy increases and the inflation rate on health-care spending regularly rises, you need to stay ahead of the game.

By Bloomberg
RETIREMENT PLANNING FEB 10, 2017
Two ways to boost Social Security benefits

Working longer and postponing benefits can increase future payments.

By Mary Beth Franklin
OPINION FEB 10, 2017
There's never been a better time to provide life insurance advice

Clients need help with this last, largest, most-neglected asset on their balance sheets like never before

By Barry Flagg
WIREHOUSES FEB 10, 2017
Morgan Stanley mulls moving New York City headquarters

Firm is considering buying space near Hudson River, site of BlackRock's new offices

By InvestmentNews
REGULATION AND LEGISLATION FEB 10, 2017
Move to delay implementation threatens DOL fiduciary rule

The implementation delay stops a regulation that has been almost seven years in the making.

By Mark Schoeff Jr.
LIFE INSURANCE AND ANNUITIES FEB 10, 2017
Dallas judge in DOL fiduciary rule suit deals yet another blow to indexed annuities

The judge affirmed that inclusion of indexed annuities in the BICE was reasonable.

By Greg Iacurci
RIAs at odds over fees for clients' cash balances
RIA NEWS FEB 10, 2017
RIAs at odds over fees for clients' cash balances

For many advisers, whether to charge on cash depends on how much time they are spending managing those assets. .

By Jeff Benjamin
Rogue brokers still pose danger to investors
INDEPENDENT BROKER DEALERS FEB 10, 2017
Rogue brokers still pose danger to investors

Even with Finra's extra attention, countless numbers of rogue brokers are still employed in the securities industry.

By Bruce Kelly
SEC charges Connecticut RIA with stealing $3.95M from investors
RIA NEWS FEB 10, 2017
SEC charges Connecticut RIA with stealing $3.95M from investors

The regulator alleges the founder of Sentinel Growth Fund Management stole from investors to settle private lawsuit.

By InvestmentNews
REGULATION AND LEGISLATION FEB 09, 2017
Dallas court approval of DOL fiduciary rule bolsters supporters' case

The loss in Texas was the third that industry plaintiffs have suffered in courts around the country and perhaps the one that stung the most. <b>Plus: <a href=&quot;http://www.investmentnews.com/article/20170209/FREE/170209897/john-bogle-demise-of-fiduciary-rule-would-be-step-backward-for-nation&quot; target=&quot;_blank&quot;>John Bogle on why demise of fiduciary rule would be 'step backward' for nation </a></b>

By Mark Schoeff Jr.
REGULATION AND LEGISLATION FEB 09, 2017
Trump call for DOL fiduciary rule review could open door to uniform standard

Brokerage business foes say they want a better rule; others call that a ruse

By InvestmentNews
John Bogle: Demise of fiduciary rule would be 'step backward' for nation
REGULATION AND LEGISLATION FEB 09, 2017
John Bogle: Demise of fiduciary rule would be 'step backward' for nation

'Fiduciary principle' will survive regardless of rule outcome, Times op-ed predicts

By InvestmentNews
RIA NEWS FEB 09, 2017
Trump protectionism poses big market risks: strategists

Liz Ann Sonders, chief investment strategist at Charles Schwab Corp., and Jonathan Golub, chief U.S. market strategist at RBC Capital Markets, express serious concerns over President Donald J. Trump's rhetoric over a trade war.

By Greg Iacurci