What Regulators Are Looking for in Your Firm’s Cybersecurity
One in five RIAs could face a security breach this year; no wonder regulators are watching. At its best, cybersecurity management is a three-legged stool.
Annuities as an RMD Answer: Navigating Potential Pitfalls
There are valid reasons for an annuity-within-an-IRA strategy, but a poorly executed annuity purchase strategy can cause unnecessary expenses.
How a Wealth Tax Could Reward Savvy Entrepreneurs and Wise Investors
Several economists argue that a wealth tax could redistribute wealth from the idle rich to the Musks and Buffetts who create wealth, Noah Smith writes.
CEOs Are Paid Fortunes Just to Be Average: Barry Ritholtz
Yahoo CEO Marissa Mayer will walk away with more than $200 million when Verizon's purchase of Yahoo is complete.
What the Fed Will and Won't Do This Week
The Fed's policy making body likely won't raise rates this week, but watch for some repricing of shorter-maturity U.S. Treasury securities.
How to Comply With IRA Comp Rules Under DOL Fiduciary
Advisors beware: It’s a prohibited transaction for tax-qualified, ERISA-governed retirement plans, including IRAs, to pay more than reasonable compensation to the plans’ service providers.
How an Advisor's Compensation Structure Affects the Client Relationship
Why a fee-based comp model is more beneficial to the advisor's company, the advisor and the client.
This Bull Market Is Powered By Your Indifference: Barry Ritholtz
The bull market really began in 2013... By that measure, this bull market is only three years old and could easily have a long way to go.
Sometimes It's Hard for Owners to Talk to Companies
Why the U.S. Justice Department is casting a wary eye on public company executives talking to individual shareholders.
The SEC Investor Advocate’s View Askew: The Illusion of Fee Disclosure
What’s missing in the SEC report are the costs to investors of recommendations by “advisors” who do not have a fiduciary duty.