News List

  • News
  • December 19, 2019

Schwab is developing robo-adviser for retirees

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

How passive is that passive ETF?

Court case raises the question of how much leeway funds have in following a benchmark.

  • News
  • December 18, 2019

Key to complying with Reg BI: Make a reasonable effort to act in the client’s best interest

SEC official: 'Can I demonstrate how I got to this recommendation?'

  • News
  • December 18, 2019

SEC plan would open hedge funds, unicorns to more investors

Regulator proposes allowing people with some professional financial certifications, such as Series 7, 65 and 82 licenses, to qualify as accredited investors

  • News
  • December 17, 2019

Hearsay helping advisers be proactive about texting compliance

Tech vendor's texting app can now automatically detect keywords that run afoul of compliance and block messages from being sent.

  • News
  • October 1, 2019

HSA fees drop, investment design shows improvement

Fund menus are important as financial advisers recommend clients invest HSA assets for the long term

  • News
  • September 5, 2019

Time is running out on opportunity zones — but there’s limited choice

Federal tax breaks related to opportunity zones could boost an investment's gain by up to 50%, but that benefit starts to decline for clients who invest after this year.

  • News
  • August 29, 2019

Variable, indexed annuities may cost more than you think

This detail could catch clients off guard when they surrender or exchange a policy.


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