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Here's to a profession as old as Woodstock

September 14, 2019

With battalions of graying baby boomers marching — or, perhaps, ambling — into retirement, this summer's 50th anniversary of Woodstock was especially significant. For the hundreds of thousands who attended the event in 1969 and the millions...

401(k) court ruling could hurt retirement savers

September 7, 2019

A recent appeals court decision allowing Charles Schwab Corp. to force its employees to arbitrate disputes about the company's 401(k) plan could prove to be a negative development for 401(k) participants and their financial security in retirement....

SEC's proposal on private placements isn't backed by data

August 31, 2019

One of the more curious initiatives of the Securities and Exchange Commission has been its push to expand access to offerings of private, unregistered securities. It seems to be a pet project of SEC Chairman Jay Clayton, who professes to have...

From those who set the standards, much is expected

August 17, 2019

As it states on its website,​ "the mission of the Certified Financial Planner Board of Standards Inc. is to benefit the public by granting the CFP certification and upholding it as the recognized standard of excellence for competent and ethical...

New DOL advice rule must factor in reality of aging investors

August 3, 2019

The responsibility ahead for Eugene Scalia, President Donald J. Trump's nominee for labor secretary, should he be confirmed, is enormous. No less than the well-being of Americans in retirement rests on the decisions his agency has before it....

Women still aren't part of the conversation. They must be

July 20, 2019

As you sit there reading this editorial in 2019, you may be surprised to hear that the majority of women still defer financial decisions to their husbands. Or, as financial advisers, perhaps you see proof of this every day in meetings with clients....

Educate clients on the reality of Social Security benefits

July 6, 2019

Year after year, despite handwringing from experts, nothing much seems to happen to address the draining of Social Security trust funds. Perhaps no one is worried because the well won't run dry for more than a decade, and much of the public...

The pros and cons of state fiduciary rules

June 22, 2019

Just as one state this month announced its intention to pursue a fiduciary rule, another postponed its efforts amid industry pushback. It's been a series of starts and stops in states since threats to the Labor Department's fiduciary rule for...

Some plan sponsors may need a nudge about HSA rollovers

June 15, 2019

The lineup of ways workers can save for retirement has expanded in recent years, with health savings accounts now looked upon as retirement savings vehicles along with 401(k) plans. But a recent survey suggests companies aren't doing a good...

Success of SEC advice reform will depend on industry actions

June 8, 2019

The moment has finally arrived. After about 14 months, 6,000 comment letters, and many investor roundtables and individual meetings with SEC staff and commissioners — not to mention dozens of InvestmentNews articles — the 1,363 pages of...

Regulators must scrutinize advice by insurance agents

June 8, 2019

"An unpoliced market." That's how one investor advocate described the practice of insurance agents who are not licensed to conduct securities transactions advising investors to roll over 401(k) funds into insurance products. The rollover market...

Protecting client data is an ongoing obligation

June 1, 2019

Redtail Technology's recent data leak is a reminder of the weighty responsibilities financial advisory firms face when it comes to cybersecurity. Redtail's customer relationship management system contained data about clients of advisory firms...

Factor investing another step in the evolution of the adviser's role

May 25, 2019

The growth of factor-based investing, as explored in last week's cover story by Jeff Benjamin, underscores the evolving nature of portfolio construction. The trend also indicates how the role of a financial adviser is being morphed by an environment...

Financial crises require creative thinking, follow-through

May 18, 2019

When something is called a crisis, odds are good an easy solution is nowhere in sight. When a couple of crises bump up against each other, forget about it. Financial advisers, however, can't just throw up their hands when it comes to clients'...

Finra plan to address unpaid arbitration award problem deserves fair hearing

May 11, 2019

The Finanical Industry Regulatory Authority Inc. finally may have come up with a fair way to ensure that investors who win arbitration awards actually receive them. Under a new rule proposal, Finra would require firms with a track record of...

Finra tackles critical issue in assessing impact of innovation

May 4, 2019

The financial advice industry is evolving, and much of the recent change involves new technology. Advisory firms have adapted to advances ranging from account aggregation to robo-advisers; now they're starting to grapple with cutting-edge technologies...

Criticism of Richard Thaler proposal must not prevent discussion

April 27, 2019

The idea recently put forward by Nobel laureate Richard Thaler to allow Americans to contribute a portion of their 401(k) balances to the Social Security Administration in return for a higher income stream has been criticized from some in the...

Finra reminds brokerages of a client's right to a straight answer

April 20, 2019

A regulatory notice issued earlier this month by the Financial Industry Regulatory Authority Inc. told member firms that they must "communicate clearly, and without obfuscation," when the brokerage firms or its managers are asked questions by...

Help parents plan early, realistically around their kids' college costs

April 13, 2019

The price of college and the burden of student loan debt is frequently cited as a barrier to young people's efforts to buy a home, marry and start a family. What receives less attention is the impact that paying for college can have on parents,...

Want to keep good employees? Know what they value most from their firm

April 6, 2019

If you run an advisory firm and have had trouble holding on to employees and attracting new ones, consider what workers are looking for in a job these days. It's not just good pay and benefits, although those are important. And it's not just...

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