RIA News

Displaying 36702 results
INVESTING FIXED INCOME SEP 01, 2017
Junk bonds face wave of supply just as investors turn sour

Will cheaper prices entice buyers or will summer's slump continue?

By Bloomberg
ADVISOR NEWS RETIREMENT PLANNING SEP 01, 2017
Government agency announces new reverse mortgage rules

The Department of Housing and Urban Development raises premiums, tightens borrowing limits for new loans to seniors.

By Mary Beth Franklin
ADVISOR NEWS REGULATION AND LEGISLATION SEP 01, 2017
Former MetLife rep fined $15,000 for borrowing from clients

Finra also suspends the broker, a firm lifer, for 18 months

By InvestmentNews
RIAS RIA NEWS SEP 01, 2017
Finra panel awards Edward Jones $340,000 in estate dispute

Arbitration puts blame on client's power of attorney, not firm

By InvestmentNews
INVESTING LIFE INSURANCE AND ANNUITIES SEP 01, 2017
Harvey may be among the world's most costly recent catastrophes

Risk modeler estimates up to $90 billion in losses

By Bloomberg
RIAS RIA NEWS SEP 01, 2017
Connecting with Millennial Clients

By John Fencil
RIAS RIA NEWS AUG 31, 2017
Wells Fargo increases fake-account estimate 67% to 3.5 million

Revised tally covers a longer period, going back to 2009

By Bloomberg
ADVISOR NEWS RETIREMENT PLANNING AUG 31, 2017
The 5 biggest threats and opportunities for 401(k) advisers

Declining fees and record keepers pose strong headwinds, while plan design and participant engagement could be boons for business.

By Fred Barstein
RIAS RIA NEWS AUG 31, 2017
SEC charges Navellier & Associates with fraud

The regulator said the Reno adviser's marketing materials misrepresented returns.

By John Waggoner
ADVISOR NEWS RETIREMENT PLANNING AUG 31, 2017
Trump administration targets class-action right in DOL fiduciary rule, but other legal avenues could remain for investors

If the best-interest contract remains in some form, action could switch to state courts; Finra still allows class actions.

By Mark Schoeff Jr.
ADVISOR NEWS RETIREMENT PLANNING AUG 31, 2017
When automatic enrollment doesn't make sense for 401(k) plans

High rates of employee turnover and inefficient administration by an employer should give advisers pause before implementing the plan-design feature.

By Greg Iacurci
ADVISOR NEWS INDEPENDENT BROKER DEALERS AUG 31, 2017
Financial industry steps up in Harvey's wake

Individuals and firms are donating time and money to help storm victims

By Jeff Benjamin
RIAS PRACTICE MANAGEMENT AUG 31, 2017
America's jobs engine keeps defying forecasts for 2017 slowdown

August payrolls may have grown by as much as 200,000

By Bloomberg
ADVISOR NEWS RETIREMENT PLANNING AUG 31, 2017
Rollins Inc. 401(k) participant sues Morningstar, Prudential over alleged RICO violations

Plaintiff says automated investment advice program is a 'predatory racketeering enterprise'

By Pensions & Investments
INVESTING ALTERNATIVES AUG 31, 2017
Why gold is less of a haven these days

Monetary policies and cryptocurrencies have eroded its traditional function

By Mohamed A. El-Erian
RIAS RIA NEWS AUG 30, 2017
RIAs weigh pros and cons of offering trust services

With demand limited, most advisers outsource it to lawyers and accountants, but some see value in adding it to their menu of services.

By Jeff Benjamin
ADVISOR NEWS REGULATION AND LEGISLATION AUG 30, 2017
DOL fiduciary rule: Agency says it will come up with new ways to comply during delay period

Labor Department says it also needs more time to look at any 'undue burden' the rule may cause.

By Mark Schoeff Jr.
ADVISOR NEWS RETIREMENT PLANNING AUG 30, 2017
Most plan sponsors like their advisers, but 38% want to switch, says Fidelity

Survey finds top concerns are reducing plan expenses and managing fiduciary responsibilities.

By InvestmentNews
RIAS RIA NEWS AUG 30, 2017
Lincoln Financial loses $300 million, 20 reps to ProEquities

Summit Financial ends 17-year relationship with Lincoln Financial.

By Jeff Benjamin
RIAS RIA NEWS AUG 30, 2017
IRS provides 401(k) tax relief due to Hurricane Harvey

The tax agency provided similar relief to victims of Sandy in 2012.

By Greg Iacurci