Editorial

The paper presents views and opinions on key issues facing the financial advice industry from the editors of InvestmentNews.

Displaying 767 results

Topic

Beware: Regulators won’t take excuses for reverse-churning

Exam priorities and lawsuits are zeroing in on account switching.

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Like it or not, annuities are coming to retirement plans

Some lawmakers are warming to the notion of using annuities to help solve the nation's retirement crisis

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Industry and regulators need to safeguard broker data

Poor data management and sharing practices can expose the personal information of thousands of individuals.

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DOL fiduciary rule: Don’t abandon compliance just yet

Financial advisers, firms should not make any dramatic changes until the direction of this giant fiduciary ship is on a clearer course.

Topic

There’s a major flaw in Finra’s arbitration system

A much more feasible remedy has recently been put forth by PIABA.

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Advisers: Make sure your clients aren’t owed pensions

Insurance companies may need help finding forgotten pensioners who left a company with a defined-benefit plan long ago.

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Social Security: Advisers must stay current on regulations

A new report indicates that thousands of widows and widowers have been shortchanged by the SSA.

Topic

DOL fiduciary rule enforcement won’t be halted after all

Massachusetts may be just the first state to hold firms accountable.

Topic

Advisers should take SEC up on offer to waive penalties

This isn't exactly an amnesty program, but it's probably the closest thing.

Topic

Make sure clients don’t take the wrong lessons from the drop

Corrections can occur, even when all the indicators seem to be positive.

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