Cover JPG December 2 2019

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Featured News

MetLife fined $10 million over missing pensioners

Insurer's policies for locating annuity customers resulted in errors in accounting for reserves, SEC says.

Decline of brokerage research accelerates as disruptive forces reshape industry

Machines are doing a lot more of the work and investors are piling into passive funds.

Merrill Lynch duo managing $270 million moves to Raymond James

Merrill Lynch duo managing $270 million moves to Raymond James Christopher Stanford and Matthew Douglas join employee unit in Georgia

Advisers expect more Roth conversions under SECURE Act

Clients likely will want to reduce tax burden on inheritors given law's limits on 'stretch IRAs'

Robinhood fined $1.25 million by Finra

Regulator said trading app's order flow procedures failed to guarantee clients received best prices.

Schwab is developing robo-adviser for retirees

Intelligent Income will help manage withdrawals across an investor's retirement accounts.

House votes to repeal SALT cap

But residents of high-tax states shouldn't get excited — the measure is dead on arrival in the Senate.

The secret to new business? Better communication with current clients

Advisers focusing more time and energy on existing clients can help generate referrals, according to YCharts data.

Chief compliance officers help drive growth at RIAs (Really!)

A well-seasoned CCO can help transform an RIA by bringing an objective and mindful stance to the typically sales-oriented decision-making at a firm.

How proposals to tax more wages could boost Social Security benefits — or not

One possible way to improve the solvency of the Social Security system is to boost the amount of earnings subject to the payroll tax.