Wealth Management

FSI NewsBrief

News for independent broker-dealers and financial advisors

FSI NewsBrief

Published in partnership with: Financial Services Institute

FINRA eases up on broker signing-bonus rules

9/22/2014

  • Reuters
  • Wall Street Journal (tiered subscription model), The

The Financial Industry Regulatory Authority has scaled back a proposed requirement that brokers who switch firms disclose to clients any signing bonuses. FINRA now proposes that firms hiring brokers f… Read More

NAIFA SmartBrief

Insurance News

NAIFA SmartBrief

Published in partnership with: National Association of Insurance and Financial Advisors

Experts: Regulation, private equity to have key roles in M&A next year

9/22/2014

  • National Underwriter Life & Health

Trends in insurance mergers and acquisitions for 2015 are likely to include a push for international growth, continued interest from private equity firms and a prominent role for regulation, experts s… Read More

Financial Planning Digest

The latest news for CPA personal financial planners

Financial Planning Digest

Published in partnership with: American Institute of CPAs

To connect with clients, know their money personalities

9/22/2014

  • ThinkAdvisor

Kathleen Burns Kingsbury, a wealth psychology expert, coaches advisers and financial services professionals on how to build and keep strong connections with clients. She says male and female clients h… Read More

Retirement Security SmartBrief

A publication for individual investors

Retirement Security SmartBrief

401(k) participants expect advice from plan recordkeeper

9/21/2014

  • PlanSponsor.com

More than a fourth of 401(k) participants expect their plan's recordkeeper to be their main source of retirement advice, while only 16.3% of the participants consult a professional financial adviser, … Read More

NASBP SmartBrief

News for surety-bond professionals

NASBP SmartBrief

Published in partnership with: National Association of Surety Bond Producers

Defense Department is curtailing sole-source contract awards

9/18/2014

  • Government Executive

The Defense Department is working to decrease sole-source contracts, which are granted without competition, and promote them only as a means to support small businesses as appropriate. The Pentagon aw… Read More

FPA SmartBrief

News and information for financial planners

FPA SmartBrief

Published in partnership with: Financial Planning Association

Are you offering advice based on your own biases?

9/18/2014

  • Journal of Financial Planning

Financial planners need authenticity, deep-listening skills, empathy, a nonjudgmental approach and curiosity, according to Lisa A.K. Kirchenbauer, president of Omega Wealth Management. "Without [these… Read More

IMCA Insight

News and information about investment management consulting

IMCA Insight

Published in partnership with: Investment Management Consultants Association

Most advisors working on cybersecurity, SEC examiners find

9/16/2014

  • InvestmentNews (free registration)

Securities and Exchange Commission examiners have found that most investment advisors and brokers are taking action to cope with potential vulnerability to cyberattacks. Most of the financial firms re… Read More

IPA Newsbrief, powered by SmartBrief

The best stories about investment through education

IPA Newsbrief, powered by SmartBrief

Published in partnership with: Investment Program Association

Study documents strong nontraded REIT returns

9/17/2014

  • InvestmentNews (free registration)

A study from Green Street Advisors found that investors have fared well with nontraded REITs. The impressive results noted in the study have generated lots of attention, said Kevin Hogan, CEO of the I… Read More

IRI Retirement Income SmartBrief

Retirement income industry news

IRI Retirement Income SmartBrief

Published in partnership with: Insured Retirement Institute

Annuities help send Prudential stock to 52-week high

9/22/2014

  • Zacks

The price of Prudential Financial shares reached $93.49 last week, a 52-week high. Zacks Equity Research said the company's annuities, retirement and asset management businesses played key roles in Pr… Read More

Insured Retirement Institute SmartBrief

Insured retirement income industry news

Insured Retirement Institute SmartBrief

Published in partnership with: Insured Retirement Institute

Sen. Hatch corrects description of his annuity plan

9/17/2014

  • Washington Post (tiered subscription model), The

In a letter to the editor, Sen. Orrin Hatch, R-Utah, wrote that The Washington Post didn't quite get things right when it explained his proposed retirement system overhaul legislation. He writes that … Read More

NVCA SmartBrief

News for the startup ecosystem

NVCA SmartBrief

Published in partnership with: National Venture Capital Association

Wearables startups gain more traction

9/22/2014

  • TechCrunch

Support for wearable technology is exploding among crowdfunding investors. "It seems that consumer interest is highest in the wrist/hand wearable category, specifically with connected watch projects,"… Read More