Why NASAA Is Leading the Charge Against Elder Fraud
At least one-third of the enforcement actions initiated by state securities regulators involve senior investors, and NASAA is tackling the issue head on.
Top 15 States With Best 401(k) Participation Rates
Nationwide, only 71.6% of participants have contributed to their workplace 401(k) plan in the most recent plan year, a new Judy Diamond study says.
What a GOP Senate Takeover Means for Dodd-Frank, CFPB, User Fees
AEI's Peter Wallison and others weigh in on what advisors can expect now that Republicans have dominated the midterms.
Top 10 U.S. Public Pensions by Private Equity Investments and Returns
A new study finds private equity is public pensions’ top-performing asset class.
More Middle- to High-Income College Students Graduate With Debt
In 2012, 62% of students from upper-middle income households left college with debt — two decades ago, that number was 34%.
GOP May Take Senate, but No End to DC Dysfunction: Political Pundits
Inside-the-Beltway political 'handicappers' Stuart Rothenberg and Charlie Cook tell IRI crowd not to expect tax reform even if Republicans take control of the Senate.
Seen and Heard: Get the Word Out to Get Women in the Industry
Pershing's Kim Dellarocca, consultant Angie Herbers and others on how to boost the number of female advisors.
10 Happiest States in America
Can money buy happiness? Only up to a point; there are many more factors at play. WalletHub ranked the states on 26 key happiness metrics.
12 Best States for Adjusted Advisor Pay
Low cost of living often offsets lower advisor pay in some states, while in other states high pay offsets high cost of living.
2014 Broker-Dealers of the Year—Scenario 3: SEC Imposes Fiduciary Standard on Reps
How would top BDs handle this scenario? "In many ways," says Eric Schwartz of Cambridge, "we're in a fiduciary world already."