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Toward a national auto-IRA
While industry groups argue the programs will take business away from advisers, there are still ways to get involved in the retirement planning process.
20 years of resilience
The financial sector is in a much better place than it was 20 years ago, thanks to proactive safeguards that were put in place to protect the assets of millions of investors in the wake of the 9/11 attacks.
Advisers who go narrow can build a wider practice
Specializing in an area that the adviser truly cares about is deeply satisfying intellectually and emotionally.
By casting a wide net, Finra hinders diversity
Should something that happened when applicants were teenagers still be held against them?
The fight to #freeBritney is a step toward reform
It’s not clear how many people may be suffering from the legal restraints that were supposed to protect them.
Have valuations for RIA firms risen too much?
Buyers are convinced they are acquiring businesses that are well-positioned to grow organically over the next several decades no matter what happens in the economy or markets.
There’s no room for crypto in employee 401(k) plans
Digital assets are slowly being accepted by big financial firms, but given the critical role that 401(k)s play in building Americans’ retirement savings, the plans should be one of the last places to sign up for crypto.
How to groom young talent
For eight years running, the InvestmentNews’ 40 Under 40 program has honored superstars, like SEC Commissioner Caroline Crenshaw this year, as well as young professionals who are quietly building successful careers.
Time to rethink forced arbitration
Ending mandatory arbitration has become a top priority for consumer advocacy groups, like the Public Investors Advocate Bar Association and others, that claim investors should have the option of laying out their case before a judge or jury.
Special-needs planning is hard but rewarding
About one in five people in the U.S. have a disability, and that will likely increase as the baby boomer population ages, according to the American College of Financial Planning. About two-thirds of people who are caregivers reported being worried about having enough retirement income.
Updating regulation for today’s technology
The key issue, as Gensler put it, is how the SEC continues to ensure that markets work for everyday investors when new technologies change the face of finance.
Finra should review ban on in-person arbitration hearings
One industry group is now calling on Finra to end the remote hearings it says are harming investors. Two hundred and sixty-three hearings have been conducted remotely as of the end of March.
ESG regulations in Europe map a clear path for the US
Europe has led the way in the exploding market for socially responsible investing.
Archegos is a wake-up call for family offices
Family offices traditionally were set up by wealthy families to manage their assets, along with handling taxes, estate planning and other chores. As the ranks of the rich expanded, so did the number of family offices.
Time to learn about crypto
Bitcoin hit a record of more than $64,000 as Coinbase Global Inc., the largest U.S. cryptocurrency exchange, went public last week. Advisers and Wall Street have reached an inflection point when it comes to cryptocurrencies.
Preparing for higher taxes
Tax-related advice is one of the few areas where advisory expertise so clearly and quickly shows its worth.
Time to assess how Covid has affected retirement
As the country begins to reopen for business, advisers may want to take stock of a year that altered the retirement plans of millions of Americans.
Best Places to Work firms navigate the lockdown
Some firms offered help with the cost of technology or other tools employees needed to make it easier to work from home, while others offered fitness distractions by moving weekly employee yoga classes online.
PE investments are good for RIAs. What about clients?
The influx of PE money is a huge vote of confidence for the health and future of the RIA business model, but some industry observers have voiced concerns.
Adapting advisers’ marketing to a new era
New regulations and the changing technological and media landscape raise many vexing and interrelated questions for advisers, their firms and the investing public.
