View Online

DECEMBER 8, 2018

RETIREMENT PLANNING

The 10 Most and Least Tax-Friendly States for Retirees

Diana Britton

Where retirees live can greatly affect their tax bill.

FULL ARTICLE

INDUSTRY

Ron Carson Will Drop His FINRA License

David Armstrong

He’s giving other advisors in his network the option to do the same, setting up a limited purpose broker/dealer to acquire their legacy, commission-based products.

FULL ARTICLE

ETFS

How Smart Are You About ETFs?

John Kador

Test your grasp of the terms, history, concepts and strategies associated with ETFs.

FULL ARTICLE

REGULATION AND COMPLIANCE

SEC Chairman Clayton Lays Out 2019 Regulatory Agenda

Diana Britton

Chairman Jay Clayton plans to finalize Regulation Best Interest and review the definition of an accredited investor in the coming year.

FULL ARTICLE

INDUSTRY

The 7 Most Transformative Wealth Management Events of the Past Two Decades

Mindy Diamond

As seen through the eyes of a recruiter.

FULL ARTICLE

INDUSTRY

FINRA Publishes List of Firms and Advisors With Unpaid Arbitration Awards

Michael Thrasher

Nearly 36 percent of investors who won their arbitration cases in 2017 collected nothing. Here are the firms and advisors that haven’t paid.

FULL ARTICLE

REGULATION AND COMPLIANCE

SEC Rule Is Imperfect, But Passable, Says FSI’s Brown

David Armstrong

DOL fiduciary rule architect Phyllis Borzi calls SEC’s proposal Reg BI “a huge step backward” for advisor standards.

FULL ARTICLE

TECHNOLOGY

LPL Acquires AdvisoryWorld

Samuel Steinberger

Aiming for improved advisor and client experiences, LPL goes above and beyond its $120 million technology budget to purchase technology firm AdvisoryWorld.

FULL ARTICLE

ETFS

A Bleak Year for Bond ETFs

Dan Weil

As interest rates rise and U.S. deficits are set to increase, bond ETF investors have suffered so far this year.

FULL ARTICLE

HIGH NET WORTH

Eight Leadership Lessons From Frank Perdue

Mitzi Perdue

Charisma is one of the most important ingredients of leadership. Luckily, it can be learned.

FULL ARTICLE