Wealth Management

FSI NewsBrief

News for independent broker-dealers and financial advisors

FSI NewsBrief

Published in partnership with: Financial Services Institute

SEC rapped for "deficiencies" in financial-reporting controls

5/1/2015

  • Bloomberg
  • Reuters
  • Financial Advisor online

The Securities and Exchange Commission has "continuing and new deficiencies" in its financial statements, the Government Accountability Office said in a new report. In particular, the SEC's controls o… Read More

NAIFA SmartBrief

Insurance News

NAIFA SmartBrief

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

Fiduciary proposal spurs concerns among some Democratic senators

5/1/2015

  • InvestmentNews (free registration)

Several Democrats in the Senate have voiced concerns that a proposed Labor Department fiduciary rule will curtail product options and retirement advice available to the middle class. Sen. Jon Tester, … Read More

Financial Planning Digest

The latest news for CPA personal financial planners

Financial Planning Digest

Published in partnership with: American Institute of CPAs

Listen and learn to serve clients who own businesses

4/30/2015

  • Financial-Planning.com

Asking broad questions of clients who own businesses can yield valuable insights that can allow you to help them reach their goals. In many cases, entrepreneurs want to launch new businesses in the fu… Read More

Retirement Security SmartBrief

A publication for individual investors

Retirement Security SmartBrief

Is a robo-adviser right for you?

5/1/2015

  • Forbes

Robo-advisers are a good tool for tech-savvy, do-it-yourself investors and passive investors who are happy to put their money down and leave it alone, Roger Gershman writes. They may not be the best c… Read More

NASBP SmartBrief

News for surety-bond professionals

NASBP SmartBrief

Published in partnership with: National Association of Surety Bond Producers

Court cites several reasons why individual surety should be rejected

4/30/2015

  • JDSupra.com

A federal court recently sided with the government in a case where an individual surety was rejected as nonresponsible for bonding a federal construction project. The government's determination was ba… Read More

FPA SmartBrief

News and information for financial planners

FPA SmartBrief

Published in partnership with: Financial Planning Association

Consultant: Financial industry should use more powerful words, images

4/30/2015

  • ThinkAdvisor

Frank Luntz, a political pollster and corporate language consultant, says financial firms often "get it wrong" when using words and images. Luntz says simple images, such as a couple holding hands, ar… Read More

IMCA Insight

News and information about investment management consulting

IMCA Insight

Published in partnership with: Investment Management Consultants Association

IMCA introduces behavioral finance program

4/28/2015

  • ThinkAdvisor
  • WealthManagement.com (U.S.)

IMCA is introducing a new online behavioral finance program for advisors who want to help clients navigate financial decisions. It will be developed by behavioral finance experts Dan Ariely and Meir S… Read More

IPA NewsBrief

The best stories about investment through education

IPA NewsBrief

Published in partnership with: Investment Program Association

REIT at-the-market fundraising rose 318% in Q4

4/28/2015

  • GlobeSt.com

U.S. equity real estate investment trusts' at-the-market fundraising increased 318% in the fourth quarter compared with Q4 of 2013, reaching $1.73 billion, according to SNL Financial. REITs increased … Read More

IRI Retirement Income SmartBrief

Retirement income industry news

IRI Retirement Income SmartBrief

Published in partnership with: Insured Retirement Institute

Lincoln National posts big gain on income from annuities

5/1/2015

  • Nasdaq.com

In the first quarter, Lincoln National's operating income from annuities rose 11% to $239 million year-over-year. The company attributed the improvement to favorable equity markets and higher fees for… Read More

Insured Retirement Institute SmartBrief

Insured retirement income industry news

Insured Retirement Institute SmartBrief

Published in partnership with: Insured Retirement Institute

Watch the Inaugural Episode of IRI-tv

4/27/2015

IRI has launched its new educational video series, IRI-tv, featuring industry leaders discussing trends in retirement planning. The inaugural episode features the retirement planning perspectives of B… Read More

NVCA SmartBrief

News for the startup ecosystem

NVCA SmartBrief

Published in partnership with: National Venture Capital Association

Tech-savvy lawmaker decries "technologically stupid" encryption back doors

5/1/2015

  • Washington Post (tiered subscription model), The

Rep. Ted Lieu, D-Calif., who has a bachelor's degree in computer science from Stanford University, doesn't think much of the federal government's idea of building back doors into computer systems to b… Read More