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Advisors Cite Different Reasons for Lack…

Nearly 60% of planners who are neither black nor Latino say the low number of minority planners is a result of minorities not being interested in the profession. Meanwhile, only...

VALIC, RetireUp Create New Planning Tool

VALIC and RetireUp have launched Retirement Pathfinder, a web-based tool that VALIC’s advisers can use to show plan participants various investment scenarios. So reports Plan Advisor.

Continuing Education Requirement Could K…

The inclusion of continuing education requirements in the SEC’s recently proposed “Rules of Conduct” could help financial advisors remain competitive at a time when robo-advisors are growing in popularity. So...

Latest News

Nearly 60% of planners who are neither black nor Latino say the low number of minority planners is a result of minorities not being interested in the profession. Meanwhile, only 23% of black planners identified that as a reason. So reports ThinkAdvisor.

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VALIC and RetireUp have launched Retirement Pathfinder, a web-based tool that VALIC’s advisers can use to show plan participants various investment scenarios. So reports Plan Advisor.

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Fifth Third Securities has agreed to pay a $4 million fine and $2 million in restitution to settle FINRA charges. So reports BIC.

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Securities and Exchange Commissioner Michael S. Piwowar, who is a Republican, is resigning from his post, which will create an even spilt between Democrats and members of the GOP who are charged with rulemaking. So reports Seeking Alpha.

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The approximately 1,643% return of Bitcoin in 2017 and its subsequent decline has driven strong interest among investors in cryptocurrency and its enabling technology, which is called either a distributed ledge or blockchain.

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Practice Management

Advisors Failing to Implement Succession…

Advisor often encourage their clients who are business owners to draft succession plans, but many advisors have failed to do the same for their own businesses. So reports InsuranceNetNews.

Technology & Communications

Financial Firms Falling Behind in Digita…

Financial services firms have been complacent in developing digital marketing programs, but fee pressure and increased competition could change that. So reports Forbes.

Regulatory & Compliance

Fifth Third Reaches $6M Annuities Settle…

Fifth Third Securities has agreed to pay a $4 million fine and $2 million in restitution to settle FINRA charges. So reports BIC.

Markets & Investments

Traditional Asset Managers Take Cautious…

The approximately 1,643% return of Bitcoin in 2017 and its subsequent decline has driven strong interest among investors in cryptocurrency and its enabling technology, which is called either a distributed...

Retirement

Retirement Plan Participants Open to Usi…

Eighty percent of retirement plan participants would allocate assets to annuities if the products were available in their employer sponsored programs.

News Roundup

Advisors Cite Different Reasons for Lack…

Nearly 60% of planners who are neither black nor Latino say the low number of minority planners is a result of minorities not being interested in the profession. Meanwhile, only...

People

Brexit, Market Jitters Create Opportunit…

Financial advisors often promote their services by saying that they can help remove emotions from investing.

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