Top News
Regulatory & Compliance
The New Hampshire Bureau of Securities Regulation alleges that former financial advisor Dan Stokes of Fremont, New Hampshire, misallocated up to $576,000 that he raised from clients by falsely claiming he would invest the assets in a charity that involved Taylor Swift and Bill Gates. So reports the Union Leader.
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New York Fines Insurers $1.83M Over Annuity Sales
Sunday, 29 September 2019
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IRS Now Allows Tax-Free Annuity Withdrawals for Advisor Fees
Friday, 13 September 2019
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CFP Board Appoints Members to New Regulatory Board
Friday, 13 September 2019
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SEC Alleges Cetera Conducted $10M Scam
Friday, 13 September 2019
Markets & Investments
U.S. sales of individual non-variable deferred annuities totaled $29 billion in the third quarter, an approximately 12% decline from the same period a year ago, which could be a result of lower interest rates. So reports Think Advisor.
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Interactive Brokers Launches Fractional Share Trading
Friday, 29 November 2019
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Wealthy Investors Increasingly Pessimistic: Survey
Friday, 15 November 2019
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Investors Who Work with Advisors Feel Better Prepared for a Recession
Saturday, 12 October 2019
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Beware of Cash in Sweep Accounts
Sunday, 18 August 2019
Retirement
As Democratic presidential primary candidates pitch proposals to extend medical insurance to more individuals and expand Social Security, South Bend, Indiana, Mayor Pete Buttigieg is going a step further by proposing a program that would provide $90 a day for individuals that need long-term care. So reports MarketWatch.
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Schwab and Employee Fiduciary Rank as Top 401(k) Providers
Saturday, 02 November 2019
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Be Happy—Don’t Retire Early
Sunday, 18 August 2019
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Retirees’ Healthcare Costs May Be More Manageable Than Expected
Friday, 31 May 2019
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Congress Considering Delaying RMD Age
Saturday, 13 April 2019
Technology & Communications
The Advisor Group has launched the CyberGuard Program, which leverages the company’s state-of-the-art cybersecurity tools to enable financial professionals to keep their clients' sensitive data secure. So reports Yahoo Finance.
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Regulation BI Creates Huge Implementation Challenge
Saturday, 06 July 2019
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Simplicity is Crucial in Website Design
Saturday, 06 July 2019
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Advisors Success with Social Media Increases
Saturday, 27 April 2019
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Advisors Can Add Value By Teaching Clients Cyber Security
Saturday, 02 March 2019
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