Keep an Eye on 'Billions' as a Market Indicator
Forget its dramatic value. I'm interested in Showtime's TV series as a possible indicator of a market top.
Dear Breakaway Broker: Know Your Employment Agreement(s)
Whether you’re a rep, an RIA or an advisor employer, it’s wise to understand the legal issues around employment.
How to Make Owner-Advisors' Lives Less Lonely at the Top
As firms grow, owner-advisors have to adapt to new roles which can be good for you, your staff and for (more) clients.
The Fed in a Bind
Changing financial markets and global economic conditions are making it very hard for Fed officials to communicate a clear and consistent policy path.
Debate on Fiduciary Is Over; Battle for ‘Best Interest’ Rages On
The debate on fiduciary duties ended with the DOL rule win. The battle continues over the meaning of fiduciary and “best interest.”
Quiz Time: Do Investors Understand How Financial Services Really Works?
Financial literacy is a noble goal, but clients and investors would be better served by understanding some basics about the industry.
Goldman Puts Mortgages and Naked Shorts Behind It
It would be odd if Goldman's punishment for selling bad loans to investors is that it has to take more money away from those investors.
Managing a Client’s Emotional Response to Declining Markets
It is up to us to help clients fully understand and stay true to the notion “buy low, sell high,” Mike Patton writes.
Will SEC Fiduciary Rule Address ‘Best Execution’ Quandary? Probably Not
While rulemaking would be the best approach, the SEC will continue to address through enforcement advisors' fund share class selection and so-called “best execution” duties.
With File-and-Suspend Dead, Maximizing Social Security Benefits
Start with the SSA’s own benefit calculator — and check clients' earnings history — before determining who should file and when, Bloink and Byrnes write.