RIA News

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RETIREMENT PLANNING MAY 01, 2017
How Social Security treats remarriage

Sometimes it pays to wait to take a second trip down the aisle.

By Mary Beth Franklin
PRACTICE MANAGEMENT MAY 01, 2017
Advisers getting left behind as broker-dealers respond to Finra priority letter

The problem lies in who gets defined as a rogue broker.

By Jodie Papike
REGULATION AND LEGISLATION MAY 01, 2017
Provision to kill DOL fiduciary rule left out of funding bill

Democratic support could bode well for future legislative threats, as critics of the rule turn their attention to new Department of Labor secretary Alexander Acosta.

By Mark Schoeff Jr.
PRACTICE MANAGEMENT MAY 01, 2017
3 missteps that could stunt financial advisers' growth

In some cases, thoughtfulness is more important than quick actions when you're looking to expand.

By Joni Youngwirth
FINTECH MAY 01, 2017
Integration—The Holy Grail of Financial Technology

By Darren Tedesco
EMERGING MARKETS APR 29, 2017
Is it time to go international?

With domestic stock valuations high, investing overseas could finally pay off.

By John Waggoner
REGULATION AND LEGISLATION APR 28, 2017
The SEC would have to jump through hoops to get approval for its own fiduciary rule

The proposed Financial CHOICE Act lays out a series of tough provisions the SEC would have to meet to adopt a uniform fiduciary standard.

By Mark Schoeff Jr.
RIA NEWS APR 28, 2017
Ask the Ethicist: What should an adviser do if their former firm violates a non-compete agreement?

Litigation over these agreements often favors the firm, but there are ways for advisers to protect their businesses.

By Dan Candura
RETIREMENT PLANNING APR 28, 2017
Trump's first 100 days: What happened to your money

Here's how the new administration has affected your wallet, for good and bad, and what to watch in the days to come.

By Bloomberg
RETIREMENT PLANNING APR 28, 2017
Social Security: Later is better

New Fidelity survey shows more Americans plan to wait to claim benefits.

By Mary Beth Franklin
RETIREMENT PLANNING APR 27, 2017
This generation is most susceptible to an IRS scam

Hint: It's not who you think.

By Bloomberg
RIA NEWS APR 27, 2017
Trump's plan to ditch AMT welcomed by advisers, but tax savings may be minimal

Removing big deductions could nullify benefits of repealing the alternative minimum tax.

By Jeff Benjamin
RIA NEWS APR 27, 2017
Finra bars former UBS broker

Ronald Broadstone charged with misappropriating client funds

By Bloomberg
WIREHOUSES APR 27, 2017
Merrill Lynch veteran moves to Raymond James

Walter Stamper of Chattanooga, Tenn., managed $147 million

By InvestmentNews
RETIREMENT PLANNING APR 27, 2017
Death of the 'blind squirrel' 401(k) adviser greatly exaggerated

More than 200,000 inexperienced retirement plan advisers aren't going to exit the market overnight.

By Fred Barstein
RIA NEWS APR 27, 2017
Jailed former LPL rep faces SEC fraud charges

Ex-broker now accused of violating securities laws with fictitious investments

By InvestmentNews
RETIREMENT PLANNING APR 27, 2017
Why Social Security is becoming a better deal for the wealthy

It's not your imagination: The rich really are taking more from taxpayers.

By Bloomberg
REGULATION AND LEGISLATION APR 27, 2017
Industry groups tell Acosta to make extension of DOL fiduciary rule delay his first order of business

Senate approves Trump's nominee as DOL secretary, 60-38.

By Mark Schoeff Jr.
INDEPENDENT BROKER DEALERS APR 27, 2017
Raymond James CEO Paul Reilly talks taxes and the firm's earnings

Executive says the pass-through cut to 15% would be a boon to some advisers, but the rate is too low for corporations in terms of gaining bipartisan support and being revenue-neutral.

By Bruce Kelly
RIA NEWS APR 27, 2017
Doubling standard deduction could hurt philanthropic giving

Trump's tax plan could create a disincentive for Americans to give as much to charity, especially when adding in the estate tax repeal.

By Liz Skinner