20 Best & Worst States for Pension Funding
Public employees of some states find their retirement plans imperiled through bloated promises and mismanagement, while employees of other states are better off.
10 Ways to Boost Your Referrals
One of the first places advisors should look for referrals is their existing client base.
SEC Swears In 2 Commissioners; FINRA Names New Governors
Kara Stein and Michael Piwowar, both former congressional staffers, are new SEC commissioners, replacing Elisse Walter and Troy Paredes.
Will Nebraska Bail Out Illinois? News Analysis
When the scale of the pension problem becomes manifest in current state budgeting, will politicians seek to nationalize the problem with a taxpayer bailout, ask fiscally prudent Nebraska to help profligate Illinois?
SEC, FINRA Enforcement: Ex-Marine Charged With Bilking Fellow Servicemembers
Among other recent FINRA and SEC actions were a $1.4 million fine for Oppenheimer & Co. for penny-stock violations and insider trading charges against a former Green Mountain Coffee exec.
New Hire Roundup: FINRA Names Keenan, Weddle New Board Members
This week in news hires, FINRA appoints new board members; Gene Tannenbaum was named managing director of Lincoln Financial Advisors; American Century Investments promoted Chris Krantz and Jeff Bourke.
Senate Confirms Stein, Piwowar as SEC Commissioners
The new SEC commissioners replace Elisse Walter and Troy Paredes.
States Improve Budget Decisions by Using Cost-Benefit Analyses, Study Finds
It might sound simplistic, but Pew-MacArthur study finds that using data to drive decisions improves performance.
Fiduciary Stumbling Blocks Surface
Several potential stumbling blocks have surfaced in the past couple of months that could stymie—or outright derail—release of fiduciary rules by the SEC and DOL.
Advisor Marketing: Don’t Think Small
A peek at multimillion dollar advisors in their native habitats.