RIA News

Displaying 37424 results
REGULATION, LEGAL & COMPLIANCE APR 04, 2017
SEC rejects appeal by Dawn Bennett

The commission's March 30 opinion clears the way for Ms. Bennett to move forward with her federal court claims that the agency's in-house forum is unconstitutional.

By Bloomberg
REGULATION, LEGAL & COMPLIANCE APR 04, 2017
DOL fiduciary delay final rule expected to be released Wednesday

Agency pushes back implementation date just before April 10 deadline

By Mark Schoeff Jr.
REGULATION, LEGAL & COMPLIANCE APR 04, 2017
DOL releases final rule delaying fiduciary implementation

Under the measure, the April 10 applicability date will be pushed back to June 9.

By Mark Schoeff Jr.
Help clients boost returns without increasing risk
LIFE INSURANCE AND ANNUITIES APR 03, 2017
Help clients boost returns without increasing risk

If your clients are considering private placement life insurance or private placement variable annuities, here's what you should consider as part of the planning process.

By Aaron Hodari
PRACTICE MANAGEMENT APR 03, 2017
Advisers must seize opportunity to deliver best-interest advice to clients

New fiduciary standard will lead industry forward regardless of DOL rule outcome.

By James Lumberg
REGULATION, LEGAL & COMPLIANCE APR 03, 2017
Savvy RIAs are waving the fiduciary flag

Regardless of DOL gridlock, RIAs are embracing their fiduciary status and promoting it to prospective clients.

By Jeff Benjamin
RIA NEWS APR 03, 2017
'Great skepticism' a primary trait for industry innovators: Bogle

The founder of Vanguard Group said he questioned everything while his firm innovated the index mutual fund, in his address to InvestmentNews' Icons & Innovators inaugural class

By Greg Iacurci
INDEPENDENT BROKER DEALERS APR 03, 2017
How independent broker-dealers can help advisers win new clients

IBDs need to play a bigger behind-the-scenes role in helping advisers attract more client relationships.

By John C. Johnson
RETIREMENT PLANNING APR 03, 2017
How to spot fake answers from Social Security Administration reps

Use these cheat sheets about rule changes to help clients claim benefits.

By Mary Beth Franklin
RETIREMENT PLANNING APR 02, 2017
Advisers must protect elderly from financial fraud

The financial abuse of older people is on the rise.

By crain-api
PRACTICE MANAGEMENT APR 01, 2017
The Right Approach for Finding the Right Senior Partner

By Gillian Albert
RETIREMENT PLANNING MAR 31, 2017
Reverse mortgages have an image problem

Older people generally overlook or are unwilling to consider home equity as a retirement asset.

By Mary Beth Franklin
WIREHOUSES MAR 31, 2017
UBS loses another Puerto Rico bond claim, this time for $4.4 million

This is the third multimillion-dollar loss involving Puerto Rico bonds or bond funds UBS has seen since December.

By Bruce Kelly
RETIREMENT PLANNING MAR 31, 2017
Fidelity follows Empower in launching TDF-managed account hybrid

It's likely other record keepers will introduce similar services, which mark an evolution among default investing in 401(k) plans.

By Greg Iacurci
RETIREMENT PLANNING MAR 30, 2017
Senate votes to kill city auto-IRA rules

The Obama-era regulations will likely be scrapped by President Trump, whose administration has already taken a stance against them.

By Greg Iacurci
RETIREMENT PLANNING MAR 30, 2017
MassMutual to level 401(k) fees for its brokers

The business changes eliminate variability in 401(k) fees and reduce the appearance of any conflicts of interest.

By Greg Iacurci
RIA NEWS MAR 30, 2017
CedarPoint Investment Advisors acquired by Midland States Bancorp

By Bloomberg
RIA NEWS MAR 30, 2017
Ned Davis: Passion for passive a 'bubble'

Passive wallops active the past five years.

By John Waggoner
RIA NEWS MAR 30, 2017
Millennials like blend of robo and human advice, though skeptical of advice generally

Whether guided by human or robo, many won't act without consulting someone else first.

By InvestmentNews
RETIREMENT PLANNING MAR 30, 2017
New IRS rules allow a risky, 'silent' protest of the Affordable Care Act

Americans have reasons to think they might get away with not paying what they owe.

By Bloomberg