Displaying 911 results
Close the insurance loophole for disgraced brokers
The fact that salespeople barred by one regulator can continue to get a green light from another is confounding
ESG’s unsustainable irony: A lack of transparency
While Europeans have forged a path, they, too, have struggled to develop a coherent standard
Don’t give up on financial literacy efforts
The vast majority of people need help with the absolute basics
Keep sweep accounts clean and transparent
Idle cash is a significant profit center for broker-dealers
Embrace the SECURE Act’s opportunity to educate
RIAs should be prepared to provide extra guidance
On the character of icons
The sine qua non of an icon is his or her integrity and honor
Will Finra’s rogue broker rule go far enough?
The problem won’t go away if it’s regarded solely as an issue for smaller firms
Time to end mandatory arbitration
Requiring investors to relinquish their legal rights is fundamentally wrong
Stop coming up with ideas to raid retirement savings
Let's call out these plans for what they are
The SEC brings its adviser advertising rules into the internet age
The changes should allow advisory firms to make better use of social media.
SEC’s proposal on private placements isn’t backed by data
Calls for reform presume there is a hue and cry among investors for access to such investments.
From those who set the standards, much is expected
The CFP Board should be commended for taking action.
New DOL advice rule must factor in reality of aging investors
More than any other client segment, older people rely on advisers to be their honest guide
Women still aren’t part of the conversation. They must be
Women who relinquish all financial decision-making to spouses or others, do so at their own peril.
Educate clients on the reality of Social Security benefits
Lower Social Security income is not just a possibility.
The pros and cons of state fiduciary rules
What are brokers and advisers to make of all this? We may be a long way from knowing, but there's a lot to watch while we wait.
Some plan sponsors may need a nudge about HSA rollovers
Multiple accounts at previous employers diminishes the feasibility of these accounts
Regulators must scrutinize advice by insurance agents
The insurance industry is largely regulated by states, and enforcement varies state-by-state.
Success of SEC advice reform will depend on industry actions
Codifying the idea of putting a client's best interest first into regulation is important.
Protecting client data is an ongoing obligation
Firms must perform due diligence on prospective providers.
