Results for "Editorial"

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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...

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...

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...

Industry opposition to state retirement plans ignores reality

September 4, 2016

Most advisers would agree that the more people saving for retirement, the better. So the opposition to a recent DOL rule making it easier for states to help businesses not currently offering workplace retirement programs to set up savings plans...

How Uber and the sharing economy will change the advice industry

September 4, 2016

A notable trend in the new American workforce is the rise of temporary employees, freelancers and independent contractors such as — if you're trying to hail a taxi in New York or any other major U.S. city — the legions of drivers working...

Finra, it's high time for transparency

July 24, 2016

The Finra board met recently and appointed a new chairman. It also took action on a few rule proposals. It's likely the public found out only after the fact that these decisions were even on the table. So what's next for the board? And when...

New Finra execs should toughen investor protection rules

August 7, 2016

As the changing of the guard takes place at the Financial Industry Regulatory Authority Inc. this month, new CEO Robert W. Cook and Chairman John J. Brennan would do well to revisit some of Finra's more important investor protection proposals...

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...

A technology response to the DOL fiduciary rule

March 20, 2016

Spring has arrived, and millions of Americans adjusted by following the annual ritual of shifting their clocks forward on March 13. It's also now time to spring ahead on preparations for the final draft of the Department of Labor's fiduciary...

Doing the math on RIA exams

February 14, 2016

Two promising developments in the push to boost the number of advisers examined by the SEC each year have taken shape in the last couple of weeks. But don't hold your breath for that knock on the door from an examiner just yet. The first is...

Help clients give wisely

December 6, 2015

With the holiday season upon us, financial advisers should talk to clients about their plans for charitable giving. By helping clients devise a well-thought-out giving strategy, which includes vetting charities they intend to give money to,...

A free lunch is anything but

October 25, 2015

It turns out some brokers are getting fat commissions off the investments they are plugging at those “free” lunches they offer senior citizens. You know the drill. In return for a free meal, a group of potential clients agrees to sit through...

No government shutdown — for now

October 11, 2015

So Congress, in its infinite wisdom, avoided a government shutdown with an 11th-hour spending deal at the end of last month. That's the good news. The bad news is that lawmakers once again opted for a short-term stopgap and avoided tackling...

Don't tune out crowdfunding

November 15, 2015

The moment many advisers hear the term “crowdfunding,” they tune out. Crowdfunding is for the unwashed masses, for Kickstarter fans, for small-time investing neophytes. It's not a place for real investing. Well, advisers can continue to...

Richard Ketchum's Finra heir must prioritize investors

November 8, 2015

When Richard Ketch-um hangs up his sheriff's badge sometime in the near future, it will truly mark the end of an era. The career regulator became the Financial Industry Regulatory Authority Inc.'s chief executive in 2009 in the middle of the...

The next few years are going to hurt

November 1, 2015

Some economists are predicting an era of slow growth for the foreseeable future, and if they are correct, that would have significant implications for investors. Last week, the Commerce Department's preliminary estimate of the rate of increase...

Analyzing Hillary Clinton's capital gains proposal

July 26, 2015

Is Hillary Clinton's capital gains proposal an effort to encourage more long-term investment or a thinly veiled attempt to raise more revenue from upper-income taxpayers? In speeches, Ms. Clinton, currently the front-runner in the race for the...

Look before you leap. A cliché, but...

September 13, 2015

Two disparate pieces of recent news highlighted the risks of knee-jerk reactions. A year ago, when celebrity bond manager Bill Gross left the firm he co-founded in the 1970s, Pacific Investment Management Co., investors fled his flagship Pimco...

Warren vs. White: The tone is unfair

June 14, 2015

Come on, senator, give the chairwoman a break. We're speaking, of course, of Sen. Elizabeth Warren, D-Mass., and Mary Jo White, chairwoman of the Securities and Exchange Commission. A couple of weeks ago, Ms. Warren sent a blistering 13-page...

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