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The SEC brings its adviser advertising rules into the internet age

November 9, 2019

The Securities and Exchange Commission wants to revamp its rules governing adviser advertising, and the changes should allow financial advisory firms to make better use of social media. [More:​ SEC promises revised advertising rule soon] The...

Having the tough talk about retirement health care costs

November 2, 2019

Some advisers would rather not talk about it at all. Some focus on managing it in the short term, more or less ignoring the long term. Others believe focusing on the long term prods clients to act. [More:​ Prepping clients for retirement health...

An intelligent way to redefine an accredited investor

October 26, 2019

A bill to open up private placements to more Americans by changing the definition of what constitutes an accredited investor was introduced in the House two weeks ago. [More:​ Legislation re-introduced in House to expand pool of accredited...

What executives should be doing in the wake of the Fisher fiasco

October 19, 2019

It now looks as if Ken Fisher and his firm will pay a price beyond public embarrassment for his off-color comments at the recent Tiburon Strategic Advisors CEO Summit. As of last Wednesday, public pension funds operating on behalf of the state...

Advisers should bring up ESG with clients, before they ask

October 12, 2019

Not so long ago, analyzing investments through the lens of environmental, social and governance criteria was considered a fringe practice that appealed to a very small segment of the investing public. [More: Why aren't advisers warming up to...

Trump wrong to challenge workplace savings plans

September 28, 2019

Virtually everyone who looks at the numbers agrees that America faces a retirement crisis. Simply put, most Americans have not saved enough to generate the income they will need to support themselves for the many, many years when they are no...

Efforts to block Reg BI likely to lead to delay, confusion

September 21, 2019

If the recent lawsuit filed by seven states and the District of Columbia attempting to put the kibosh on the Securities and Exchange Commission's controversial broker-conduct rule feels familiar, it's because we've been down this road before....

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...

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