Results for "Editorial"

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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...

Financial crises require creative thinking, follow-through

May 18, 2019

When something is called a crisis, odds are good an easy solution is nowhere in sight. When a couple of crises bump up against each other, forget about it. Financial advisers, however, can't just throw up their hands when it comes to clients'...

Finra tackles critical issue in assessing impact of innovation

May 4, 2019

The financial advice industry is evolving, and much of the recent change involves new technology. Advisory firms have adapted to advances ranging from account aggregation to robo-advisers; now they're starting to grapple with cutting-edge technologies...

Finra plan to address unpaid arbitration award problem deserves fair hearing

May 11, 2019

The Finanical Industry Regulatory Authority Inc. finally may have come up with a fair way to ensure that investors who win arbitration awards actually receive them. Under a new rule proposal, Finra would require firms with a track record of...

The need for a successor can sneak up on you, so plan ahead

March 30, 2019

InvestmentNews'​ new series on advisers' succession planning experiences has been well received by business owners struggling with the process — or even getting motivated to start the process. Last week's profile brought home the importance...

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...

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...

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...

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...

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...

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...

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...

Stock buybacks: Who benefits?

August 9, 2015

Stock buybacks are once again in the news, with Democratic presidential candidate Hillary Clinton criticizing companies for spending their cash on buybacks rather than investing it. Buybacks have been controversial for many years. Defenders...

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