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Retirement Report

Sep 22, 2019

Expert Opinion

Reconciling Rollover Advice With Reg BI and DOL Fiduciary Standard

By Robert Bloink | William H. Byrnes

Advisors who provide rollover advice must exercise caution to ensure compliance with both regimes. Read More

Expert Opinion

2 Tax-Smart Charitable Giving Strategies for the New Tax Era

The increased standard deduction makes these techniques, which most taxpayers don’t know about, more important than... Read More


11 Key Facts About BDs, Retirement Plans and Markets: SIFMA

By Bernice Napach

Among the data points: Broker-dealers and registered reps are declining in number. Read More


The 529 Plan v. Retirement Account Smackdown

Is it a good idea to use a retirement plan to pay for kids' education? Sometimes. Is it ethical? Of course it is! Read More


How Long Will $1 Million Last Your Clients in Retirement?

Here's a look at how a planner handles this common trick question. Read More


Employee Savings Rates Hit Record in Q2

A study from Fidelity says millennial ownership of IRAs increased by 20% year over year. Read More


Scalia Grilled on DOL Fiduciary Rule at Hearing

By Melanie Waddell

A senator questioned the Labor secretary nominee about his thoughts on retirement advice and how he sees his role in... Read More


Vanguard Preparing to Offer Digital-Only Robo-Advisor

By Bernice Napach

The offering is expected to charge far less than Vanguard Personal Advisor Services. Read More


Disrupted Communications: How to achieve and maintain compliance for your organization's electronic communications data

Sponsored by: Smarsh

It’s easy for modern communication methods to expose your firm to risk. Find out how to ensure you remain compliant! Learn More

Regulatory Update: Roundup of 10 Recent FINRA and SEC Violations and Penalties

Sponsored by: Smarsh

Review these scenarios to make sure you avoid FINRA & SEC penalties. Learn More

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