Investment Advisor-December 2014

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  • Strategic Beta: What Investors Need to Know

    Tony Davidow

    As strategic, or "smart," beta strategies become more popular, make sure you know what youre getting into, Schwab's Tony Davidow writes in Investment Advisor.

  • Two Other BD Issues Still Loom


    The independent broker-dealer community has consistently and loudly derided the Department of Labor's on-again, off-again plan to redefine fiduciary under the Employee Retirement Income Security Act. In late October, Labor Secretary Thomas Perez said the department continues to reach out to stakeholders regarding the redraft of its rule so that...

  • The Strengthening Dollar


    Who wouldn't want to own the greenback? With the Dow and S&P 500 regularly hitting new highs and the economy continuing to put up good numbers, the U.S. is a tropical island in a world dominated by fiscal malaise and geopolitical chaos.

  • White Promises ‘Clarity’ on Fiduciary


    While SEC Chairwoman Mary Jo White said in mid-November that the agency had not yet decided whether to do something or what to do regarding a fiduciary rulemaking, White said she planned to provide clarity as to her position regarding a uniform fiduciary rule in the short term.

  • Long-Term Careless

    Marlene Y. Satter

    Discussing long-term care insurance can be toughassuming advisors can get their clients to discuss it at all.

  • Alternatives Speak to Two Generations

    Jon Sundt

    RIAs have a huge opportunity to develop client relationships using alternative investments with two demographic groups: baby boomers and the millennial generation.

  • IRS Releases Guidance on Roth After-Tax Issues


    The Internal Revenue Service in late September issued long-awaited guidance on the allocation of after-tax amounts to rollovers, which answers what IRA guru Ed Slott said is one of the most common, if not the most common, question that he gets from advisors.

  • How Behavioral Finance Can Boost Goals-Based Investing


    For many financial advisors, behavioral finance is still somewhat abstract. They recognize the importance of understanding investor behavior to improve investment outcomes, said Chuck Widger, founder and executive chairman of investment management firm Brinker Capital. However, due to a lack of practical tools, finding the best way to incorporate behavioral...

  • Seasons Change. So Do Markets

    Noah Hamman

    Here's a tool to help manage clients' volatility exposure and their emotions amid ever-changing threats.

  • Examiners Get Tough


    Understanding the inner workings and pressures on the SEC is valuable to advisors, but RIAs are mostly worried about SEC examinersand they should be, according to Tom Giachetti, chair of the securities practice group at Stark & Stark. Theyre assuming youre doing something wrong, said Giachetti of SEC examiners under...

  • The Day After Veterans Day

    James J. Green

    Ill admit it: I didn't know what to write about this month in this magazine where Ive written editor's notes for about 13 years.

  • Bernanke Recalls ‘Panic’ During Fed Tenure, Defends QE

    Gil Weinreich

    Ben Bernanke, who during the depths of the financial crisis worked seven-day weeks, sometimes availing himself of an office couch to catch some sleep, is now in memoir mode, collecting his thoughts for an upcoming book and for an audience of thousands at Schwab Impact in November.

  • The SEC Is Broken

    Melanie Waddell

    A decades-old law and the origin of new commissioners stymies consensus building and rulemaking at the Securities and Exchange Commission.

  • Top 10 IRA Rollover Mistakes

    Melanie Waddell

    The Internal Revenue Service gave advisors some much needed guidance regarding the ever-challenging issue of rollovers.

  • Managing Risk to Create Retirement Income

    Danielle Andrus

    In turning its attention from accumulation to decumulation, the 401(k) industry created new products to solve income needs, but they came with significant disadvantages, according to the presenters from Milliman during a session at Schwab Impact in November.

  • FINRA Fines


    Fines imposed by the Financial Industry Regulatory Authority in 2014 are poised to far outpace those reported by the regulator in 2013, according to an analysis released Aug. 1 by the law firm Sutherland Asbill & Brennan.

  • Important Goal with Cost Basis Reporting—Avoid Surprises!


    Among the more frustrating aspects of cost basis reporting are the potential surprises. For example, you intended to sell a specific lot, but the account's default accounting method was used instead. Or you are selling securities that were recently transferred, but the original cost basis was not provided by the...

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