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Regulatory amnesty opens advisers' eyes to past wrongs

March 16, 2019

The Securities and​ Exchange Commission and the Financial Industry Regulatory Authority Inc. are taking a new approach to enforcement — and the industry should pay attention. It just might save firms and advisers considerable sums of money,...

Advisers can — and must — help improve financial literacy in America

March 9, 2019

The United States is one of the richest countries in the world, yet many of its citizens are woefully ignorant about the nuts and bolts of such financial vehicles as loans and retirement savings plans. In fact, a Standard & Poor's survey ranked...

Help older clients facing a layoff realize their worth

March 2, 2019

Most advisers have had the experience of answering anxiety-ridden calls from clients saying they've been laid off, perhaps many during the early days of the Great Recession. What may surprise advisers is that more than half — 56% — of workers...

Now, not later: RIA custody confusion must be acknowledged by the SEC

February 23, 2019

Nothing gets the attention of registered investment advisers quite like the concept of custody status. For good reason, the Securities and Exchange Commission ramped up its focus on RIAs that have custody of client assets in response to the...

Be proactive addressing sexual harassment in the workplace

February 16, 2019

InvestmentNews' recent survey on #MeToo laid out the dimensions of the financial advisory industry's sexual harassment problem. Thirty-one percent of the 345 financial advisers who responded to the survey said they had personally experienced...

Politicians must come together to improve financial security

February 9, 2019

President Donald J. Trump spent a good portion of his State of the Union address last Tuesday reminding Americans of a particularly proud moment in our history: the Normandy landings on D-Day in World War II and the subsequent liberation of...

'Selling away' doesn't mean the B-D is not ultimately responsible

February 2, 2019

It looked like a routine arbitration award and in many ways it was. A small broker-dealer was found liable for the actions of one of its brokers for selling away. It was ordered to pay the client $276,226. The problem is that the broker, who...

Don't get hacked: You and your business can't afford it

January 26, 2019

If cybersecurity isn't a top priority at your firm, you might have been hacked already. Long gone are the days of just adopting formal cybersecurity policies and procedures and considering your business and your clients covered. Thanks to an...

Advisers should be worried about the shutdown — and yes, you should step in

January 19, 2019

Financial strain related to the partial government shutdown, now beginning its fifth week, may seem remote to many advisers and their clients. But if the standoff drags on, more Americans will become entangled in its spreading net. The monetary...

Better screening by Finra could curb expungements

January 12, 2019

No one wants a black mark on their record, especially if you're a broker trying to attract clients and those clients know how to use Finra's BrokerCheck system to research your background. That reality, especially over the past decade as the...

2019 may finally bring progress on retirement legislation

January 5, 2019

The U.S. retirement system still has a lot of holes in it. First and foremost are the 35% of U.S. private-sector employees whose companies don't provide them with a retirement plan. But even workers with access to a 401(k) or other type of plan...

Savvy advisers, take a close look at the Roth IRA

December 15, 2018

If there's an​ upside to the slumping financial markets it might be that it provides a fresh opportunity for financial advisers to strut their stuff with a year-end value-add in the form of Roth IRA conversions. For financial advisers who...

Don't fear women. It's bad for them and bad for business

December 7, 2018

Are men really becoming afraid of women? That's the upshot of a recent Bloomberg story about fallout from the #MeToo movement. The story described how some men on Wall Street and across financial services are avoiding women for fear that their...

Regulators have a sharp eye on IRA rollovers, so advisers must act cautiously

December 1, 2018

After the Department of Labor's fiduciary rule for retirement advice was killed earlier this year, many brokers likely breathed a sigh of relief. Now things could return to normal, especially in regard to IRA rollovers, a lucrative part of many...

Advisers must step up guidance on Medicare, as flubs are costly

November 24, 2018

Mounting health-care costs mean medical bills increasingly have the potential to derail clients' carefully plotted plans for retirement. That makes it all the more important they get it right when it comes time to signing up for Medicare, the...

Great change or gridlock? Under a bipartisan Congress, advisers will see change

November 10, 2018

Since the markets hate uncertainty, they had nothing but love for last Tuesday's midterm election results. With Democrats winning the House, and Republicans adding to their majority in the Senate, the Dow closed up 389 points and the S&P 500...

Increase of enforcement cases against RIAs, advisers suggest compliance may need a boost

November 3, 2018

When it comes to stereotypes about advice industry participants, investment advisers often wear the white hats. But the 2018 enforcement report from state securities regulators may put a dent in that image. The report shows that in 2017, for...

Understand where your firm's growth is really coming from

October 27, 2018

When Ed Koch was mayor of New York back in the 1980s, he liked to stroll down the streets of the city and ask people, "How am I doing?" Of course, it was part of the colorful mayor's shtick, but it also was a useful way to help him assess his...

Investors, don't lose sleep over the midterm elections

October 20, 2018

The early October jolt of stock market volatility seemed to awaken investors briefly from a relative sense of calm and reminded us that pullbacks and downside risk are part of the price to be paid for upside performance. Despite just about every...

After Ohio National decision, the fine print of annuity trails is now a must-read

October 13, 2018

It's still a fresh sting, hearing that Ohio National Financial Services Inc. plans to terminate servicing agreements and cut off trail commissions to broker-dealers that sell some of its variable annuities. Can they really do this, some B-Ds...

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