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State, local auto-IRA initiatives benefit 'forgotten' workers

February 26, 2017

In his short tenure, President Donald J. Trump has followed up on his campaign promise to try and reduce federal regulations. He has signed an executive order requiring that in order to add a new regulation, government agencies must get rid...

It's up to advisers to know their custodial status

February 17, 2017

As somebody once said, it's the little things in life that get you; you can sit on a mountain but you can't sit on a pin. For financial advisers, one of those little things could take the form of a password or username for a client's online...

President Trump's order on DOL fiduciary rule creates quandary for firms

February 12, 2017

President Donald J. Trump left the financial advice industry in no-man's land when he issued his directive to the Department of Labor to review its fiduciary rule, due to be implemented in April. The regulation would require financial advisers...

Getting a handle on robo-advisers' returns

February 5, 2017

Not all digital advice platforms are created equal. But which one ultimately serves your clients best will take a bit more time to tease out. A recent analysis by Condor Capital Management attempted to provide an early peek at winners and losers....

Too soon to tell how best to invest under Donald Trump presidency

January 29, 2017

Adviser usually don't put much stock in market milestones like the Dow Jones Industrial Average passing the 20,000 mark, as it did last week. But their clients do. Indeed, advisers can expect to get phone calls soon — if they haven't already...

SEC confirmation hearings for new chairman should be fast-tracked

January 22, 2017

Financial industry leaders should urge President Trump and Republican congressional leaders to move quickly on the confirmation hearing for SEC Chairman nominee Jay Clayton, who will replace Mary Jo White. Ms. White's tenure ended with the Obama...

Congress shouldn't overlook these adviser issues in rush for change

January 15, 2017

President elect Donald Trump and the Republican-controlled Congress have a lot of legislative promises to keep as they get down to business — the repeal of Obamacare, tax reform, rolling back some of the Dodd-Frank regulations, renegotiating...

The SEC should wake up and start appointing its judges

January 8, 2017

It is time for the Securities and Exchange Commission to catch up with modern times and start appointing its administrative law judges instead of hiring them like any other civil servant. What might have worked well enough 80 years ago when...

An evolving profession must continue to innovate

December 18, 2016

Innovation is the lifeblood of any industry. An industry where innovators are few and new ideas die before seeing the light of day is an industry that will wither. That is why InvestmentNews is recognizing icons and innovators in this issue....

'Tis the season to get holly, jolly and helpful

December 11, 2016

For some of us, it's the most wonderful time of the year. As we prepare to gather with friends and family for the holidays, we may feel a little more gratitude for what we have than we do during the other 11 months when we're caught up in our...

Time for 401(k) plans to step into the modern age

December 4, 2016

The world of work has changed dramatically in the past 20 years, but some of our laws and customs have not kept up with these changes. The result can be harmful for workers who are relying on employer 401(k) savings plans to fund their retirement....

Don't hold your breath on DOL fiduciary rule repeal

November 27, 2016

Congressional Republicans have been urging President-elect Donald Trump to scrap the Department of Labor's fiduciary rule, but financial firms trying to adapt to the rule should not hold their breath. Mr. Trump has a great deal on his plate...

Get serious when choosing SEC chief

November 27, 2016

We've only just begun. Those words remind some of us of the 1970s hit by The Carpenters, and others of the long road ahead for the Trump administration, currently choosing its vast workforce to help lead this country. One position of particular...

Donald Trump faces a steep learning curve

November 13, 2016

With Donald Trump's shocking victory over Hillary Clinton last week, America woke up to a new reality. Financial markets churned in the aftermath of the election, with global markets initially plunging before U.S. equity markets rallied last...

Eyes wide shut on DOL fiduciary future

November 6, 2016

As more time elapses and more information trickles out about the Department of Labor's coming fiduciary rule, it is becoming more apparent that parties both inside and outside the regulatory clutch are still largely speculating about what lies...

Finra's sweep of broker-dealer cross-selling may head off problems

November 6, 2016

The Financial Industry Regulatory Authority Inc.'s sweep of broker-dealer firms seeking data about cross-selling practices is a smart move, and could head off, or at least ameliorate, later problems. The sweep was obviously prompted by the Wells...

A clear view of alternative strategies is a challenge for financial advisers

October 30, 2016

Gauging the value of an alternative investment has been a real challenge for advisers, particularly in the last eight years. Looking at performance and fees doesn't tell the half of it. Liquid alt strategies are meant to dampen risk and/or magnify...

New path for resolving late RIA rollovers

October 30, 2016

As advisers formulate year-end tax strategies, they should familiarize themselves with new rules put out by the IRS regarding late IRA rollovers. Nobody should ever have a late rollover if they can help it. Doing so risks incurring a 10% penalty...

Sen. Elizabeth Warren's bogus charges against SEC's Mary Jo White

October 23, 2016

Sen. Elizabeth Warren, D-Mass. has claimed one head — that of former Wells Fargo CEO John Stumpf, who resigned in the wake of the false account scandal —and now seems to be seeking another, that of SEC Chairwoman Mary Jo White. Ms. Warren...

Performance-based pay may lead to problems including fines — and even a tarnished brand

October 23, 2016

Paying staff based on how well they perform makes a lot of sense. Or does it? Two professors who won the Nobel Prize for Economic Sciences earlier this month studied performance-based compensation practices — and reported back a cautionary...

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