SEC to Scrutinize Retirement Advice
By Melanie WaddellThe SEC has launched a multiyear targeted review of investment advisors and BDs retirement planning sales practices.
June 17, 2015
5 Challenges Advisors Need to Conquer in Next 10 YearsGenerally, things are pretty good for advisors right now, Sanjiv Mirchandani of Fidelity says. But the industry's growth picture is more nuanced than it seems.
June 16, 2015
Catastrophic Succession PlanningProper planning can help your business make the best of the worst times.
June 16, 2015
Mike Tyson’s Former Advisor Bilked Athletes at Live Nation-Owned Firm: SECBrian J. Ourand, former president of SFX, wired money to himself from client accounts, SEC says. The firm's CCO was fined for failing to supervise.
June 15, 2015
How Firms Can Add Young Women — and Boost PerformanceThe benefits of a diverse work force, including young women, are more immediate than securing replacements for retiring advisors.
June 15, 2015
Government vs. Private Loans for College: What Borrowers Should KnowSome private lenders are charging lower rates than the government this year, but beware the tradeoffs.
June 12, 2015
Could 20 Digits Prevent Another Financial Crisis?SEC Commissioner Kara Stein, a self-described "geek," says a 20-digit code could help stop the financial world from imploding again.
June 11, 2015
What Do Tougher FINRA Suitability Standards Mean for You?FINRA's new rules have elevated the importance of risk profiling and risk tolerance, which are often lost in the shuffle.