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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...

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...

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...

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...

'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...

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...

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...

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,...

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...

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...

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...

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...

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